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 (or doesn’t know) about your business process.

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And if you only learn one thing from this podcast, let it be this: Don’t overpromise the investigator or regulators about response times or what information you can deliver.

Connect with Kay

• kayfglaw.co 
• LinkedIn

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