Hardin is pleased to share this recent contribution to the May 2020 issue of the Investment Adviser Association’s (IAA) Compliance Corner.
In Seven Mistakes to Avoid in Your Compliance Program, Jaqueline M. Hummel calls out top adviser compliance traps. Ms. Hummel then shows how Chief Compliance Officers can engage everyone in the firm, from their most experienced compliance experts to non-compliance colleagues, to avoid them. As all thoughtful compliance professionals know, compliance ultimately is everyone’s responsibility.
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