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Best Practices for Overcoming Compliance Challenges
Oyster Stew - A Broth of Financial Services Commentary and Insights
English - July 14, 2022 17:00 - 29 minutes - 20.6 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
Previous Episode: T+1 - 6 Things Your Firm Should Be Doing Now
Regulatory issues can have a major impact on a Compliance professional's career. Oyster's experts, who are former CCOs, talk about the issues they faced, from liability and escalation to managing the relationship between Business and Compliance.
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