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The Biggest Compliance Traps That You Don’t Even Know Are Happening at Your Firm

Summary by Traders Magazine
By Lori Weston, Director of Product and Strategy, STP Investment Services As a compliance officer responsible for administering your firm’s compliance program, you are keenly aware of your firm’s compliance risks. The SEC requires advisers to implement compliance programs designed to mitigate these risks. As news of SEC enforcements continue to be reported, you’re likely evaluating whether your firm’s compliance program could withstand similar r…
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