The MyComplianceOffice platform provides a unified approach to Conduct Risk. Identify and mitigate potential conflicts from the activities of employees, third parties and the company.
Learn more about the most current regulatory issues and their impact on organizations like yours.
Download the slides from MyComplianceOffice's webinar, 'Pay-to-Play Rules & Revenue Sharing: A Best Practices Guide'.
In this March 21st webinar co-hosted with Todd Cipperman of Cipperman Compliance we explore and discuss Pay to Play, SEC Rule 206(4)-5 and more