Applying A Regulatory Framework To Your Compliance Program

It seemed to me that the material in the webinar today was somewhat basic and contained only elementary elements of compliance. The superficial nature of the topics covered would suggest that it isn't necessarily appropriate for compliance officers, for example. Also, there was a little overlap between the discussion pertaining to B/D reps and independent RIAs. The program may have been geared more closely to the requirements of B/D personnel.