15 Tips to Create an Effective Compliance Calendar
Oyster Stew - A Broth of Financial Services Commentary and Insights
English - November 11, 2022 17:00 - 25 minutes - 17.5 MB - ★★★★★ - 7 ratingsInvesting Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
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Risk assessments help prioritize your tasks and testing, and of course, the rules dictate what is required to be done to remain compliant. So how do you make sure you are following the rules and protecting your firm?
In today’s podcast, Oyster compliance experts, who work a variety of clients and business models, share tips they’ve learned on how to build an effective and efficient compliance calendar.