Audits, Investigations, and Market Conduct Exams | CDD
Shownotes Welcome to Compliance Dos & Don’ts, where experts share their licensing and compliance knowledge. Today, former regulator and corporate attorney, Kay Godfredsen, shares her dos and don’ts for market conduct exams. Her secret for success: Make sure you understand the scope and goal of the investigation. And don’t make assumptions about the regulator knows …
