missy@financialexpertsnetwork.com6 days 6 hours ago
A few comments from listeners when they were asked what the learned from the webinar:
So many!!! Compliance is key and no joke when it comes to the SEC! Thank you for such a thorough webinar. - Judy C.
Some really good insight to AUM fees, client agreements and client communications. Michelle is always great and makes the topics interesting. - Jonathan L.
I need to step up my compliance game. I got a nice list to focus on. - Mark W.
Avoid any activity that is not essential, if it requires compliance work. Keep things as lean, simple as possible. Document everything, or weekly/daily note all activities. Hire Michelle. Ensure archives are including texts. Check on AI notetakers and all 3rd party applications with PII to ensure data security. - David T.
So many!!! Compliance is key and no joke when it comes to the SEC! Thank you for such a thorough webinar.
- Judy C.
Some really good insight to AUM fees, client agreements and client communications. Michelle is always great and makes the topics interesting.
- Jonathan L.
I need to step up my compliance game. I got a nice list to focus on.
- Mark W.
Avoid any activity that is not essential, if it requires compliance work. Keep things as lean, simple as possible.
Document everything, or weekly/daily note all activities.
Hire Michelle.
Ensure archives are including texts.
Check on AI notetakers and all 3rd party applications with PII to ensure data security.
- David T.