With 2009 coming to a close, now is a good time to improve your compliance procedures for 2010. In today's session of the Financial Advisor Webinar Series, attendees learned how to integrate compliance into their firm's day-to-day tasks.
Chris Winn, co-founder and managing principal of AdvisorAssist™, a compliance consulting firm, provided attendees with 25 crucial tasks for their 2010 compliance calendar and a proactive strategic plan to minimize compliance risks before something goes wrong.
If you missed this valuable session, you can view a replay free-of-charge.

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