Recent Posts by Nancy Chilcote

Thoughts on the 2020 FINRA Small Firms Conference

I really enjoyed the opportunity to be an exhibitor at this year’s FINRA Small Firm Virtual ConferenceAlthough the format might have been different this year, the sessions were still filled with the same focus on effective compliance practices for smaller firms.

One of the key themes I heard at the event throughout the sessions was the need for consistency in policies and procedures, and for complete and consistent documentation.

Read More