In the following podcast you’ll learn what to do after your next SEC exam.
Click the play button below to hear compliance tips and best practices from presenter Krista Zipfel, CFA, President and CEO of Advisor Solutions Group.
comments powered by Disqus
You may also be interested in:
Preparing for Your Next SEC Exam (Whitepaper)
Surviving an SEC Audit: Tales from a Very Recent Experience (Webinar Replay)
Podcast: Have an Upcoming SEC Exam? Preparation Starts Now