10 Action Areas For CCOs

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(Updated: October 29, 2015)
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(Updated: October 29, 2015)
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(Updated: October 29, 2015)
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Not very helpful. Once again, another compliance seminar that goes an inch deep and a mile wide. When I find a seminar that covers one or two topics related to FEE ONLY advisors (SEC registered) who don't have a BD affiliation, I will have found something useful. Thanks.

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(Updated: October 29, 2015)
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Very interesting and thought provoking. Compliance is important to me but is intimidating. Since most of us in the industry are doing our best to serve our clients and our profession, I wish compliance would be less adversarial and more assistive in helping us tune up our practices.

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(Updated: October 29, 2015)
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Well done! Advisors always need to be reminded of compliance.

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32 results - showing 1 - 5