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 April 27th webinar with Charles Lerner, Principal of Fiduciary Compliance Associates and John Roth, CCO at Venor Capital Management on SEC Hot Button issues.
Hot Button Issues on the Agenda included: