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Webinar: SEC Hot Button Issues

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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:

  • Cybersecurity
  • Conflicts of interest
  • Expense allocation
  • Regulation D.