missy@financialexpertsnetwork.com1 year 3 months ago
A few comments from listeners when they were asked what the learned from the webinar:
Very good overview of the principal areas examiners are looking as far as firm and IAR compliance are concerned. As CCO for my firm, this session was helpful in identifying a couple of compliance items on which I need to focus more attention. - David D.
Best practices for developing and maintaining compliance programs -especially testing the policies and procedures regularly and documenting the tests. (2) safeguarding client assets and the ways you can take custody of client's assets. - Jacqueline B.
Interesting points about serving as trustee for non-family. Also reviewing ADV annually. Websites for IAR - Jennifer S.
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Very good overview of the principal areas examiners are looking as far as firm and IAR compliance are concerned. As CCO for my firm, this session was helpful in identifying a couple of compliance items on which I need to focus more attention.
- David D.
Best practices for developing and maintaining compliance programs -especially testing the policies and procedures regularly and documenting the tests. (2) safeguarding client assets and the ways you can take custody of client's assets.
- Jacqueline B.
Interesting points about serving as trustee for non-family. Also reviewing ADV annually. Websites for IAR
- Jennifer S.