Compliance Across The Industry - Lookback to 2023

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - January 17, 2024 18:00 - 41 minutes - 28.4 MB - ★★★★★ - 7 ratings
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A lot has happened in the last year when it comes to compliance in the financial services industry. Today our consultants share their perspectives and what we heard from our clients about the following areas of regulatory focus, including DOL Retrospective Reviews, outside business activity monitoring, private fund rules, direct business, off channel communications, cybersecurity, and FINRA's branch inspection pilot program.

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