Listen to Part 1 of our two-part series on Common Compliance Mistakes as Oyster’s regulatory compliance experts uncover how to spot, prevent, and correct the following issues:
Communication Missteps: Closing the Gaps
- discover where CCOs often fall short in capturing off-channel communications such as texts and chat room interactions
- gain practical measures every firm should adopt
Marketing Compliance Challenges
Marketing presents a minefield of compliance challenges. In this episode we will:
- identify common mistakes
- discuss the importance of routine reviews and updates to your firm’s marketing procedures
- share how to craft tailored disclosures in testimonials and endorsements to align with SEC requirements
- offer first-hand experiences with common issues during SEC exams
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