Updated Wednesday, September 2, 2015 as of 5:48 PM ET

Tech Tools to Avoid Compliance Missteps

Numerous high-profile enforcement actions show that many advisors continue to sidestep their compliance obligations -- and they show where the SEC will be looking for future breaches.

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Comments (1)
Not very specific or helpful
Posted by Paula V | Thursday, March 19 2015 at 2:51PM ET
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