What: The Division of Examinations issued a Risk Alert with preliminary observations about Marketing Rule […]
Compliance Science, Inc. is hosting a February webinar entitled, "Navigating Your Next SEC Exam". The webinar conversation will focus on a range of considerations that represent the end-to-end lifecycle of an exam.
This 60 minute webinar will be moderated by Charles Steerman, VP Product Solutions, Compliance Science with guest panelists Mitch Avnet, Founder and Managing Partner, Compliance Risk Concepts (CRC).