2021 RIA Compliance Diagnostic Drill
Webinars
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2.0 |
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7.0 |
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This session, while OK, was not worth the wait or delays.
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Hmm.....well Cathy is only the messenger, not the bad guy. Very sobering when we recognize the vast power the SEC and state regulators have over our lives. My guess is that virtually every advisor on the call (and particularly those NOT on the call) have some sort of exposure, i.e. violation, floating around in their practices and procedures, mostly unknowingly. I'm not sure that all compliance professionals are necessarily in full agreement with one another, as varying interpretations might well apply.
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