Sixteen Compliance Trends to Watch in the New Year
Financial advisors face a slew of new regulatory issues in 2018, and when it comes to compliance, they are “better off changing the oil regularly than waiting for the engine to blow up.” That vivid warning comes from Todd Cipperman, founder of Cipperman Compliance Services, a consulting firm specializing in regulatory compliance. To find out what to expect next year according to Cipperman, as well as Bao ...
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