September 16, 2021
For CCOs, By CCOs: Regulatory Exam Insights
View the recent “For CCOs, By CCOs” webinar on “Regulatory Exam Insights” for actionable takeaways on:
- Exam Priorities – Compensation arrangements, advisory fee billing, conflicts of interest disclosure, cybersecurity and Form CRS
- Global Insights – Why ESG regulation in the EU/UK is driving change in the US and the rise and uncertainty of digital assets and cryptocurrency
- Regulatory Preparedness – How to be “regulator ready” and mock exam best practices
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