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 ratings
Investing Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed

Previous Episode: What Can Happen When You Start Managing Your Clearing Relationship At an Executive Level

Next Episode: Cut to the chase - Get the Best Clearing Firm Options

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.

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!