The world seems to be in a state of complete chaos. But if you are a Chief Compliance Officer of a broker-dealer or investment adviser you may have noticed that the SEC and FINRA have not let all of the chaos alter their focus. Deregulation has not set in with either body.
So for your summer reading on the beach I am sharing a post I wrote back in April of 2011. It still holds true today. To read it click here. It is called: “How Do You Create a Real Culture of Compliance”
(c) Copy-written by Sharon M. Davison 2018. Use allowed with attribution.