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Using key takeaways from 2022 as your guide for 2023 compliance preparation
As we wrap up 2022 and look ahead to 2023, join AdvisorEngine’s Chief Compliance Officer for a retrospective on regulatory expectations. The regulators have provided a roadmap - We’ll take a look at what’s coming next on the regulatory landscape and how to prepare for the coming year, including your CCO priorities and annual report.
Attendees will receive our “SEC Year in Review” resource guide for investment advisors.