We lighten things up a bit with our special holiday podcast: “Twelve Days of Compliance,” please grant us a little poetic license here. Happy Holidays!
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- The Importance of Effective ADV Disclosure: Staying Ahead of the Regulators
- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
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