Unlock the secrets of crafting compliance manuals that truly work for your firm with insights from our regulatory compliance experts. Discover why using generic templates might be a recipe for disaster, and how aligning your written supervisory procedures with actual business practices can safeguard your firm's accountability and regulatory standing. In this episode you'll uncover:
- The top errors CCOs make with policy updates and procedural documentation.
- How to ensure accurate and timely delivery of Form ADV, Form CRS, and
Reg BI Disclosures - Regulatory filing errors that can cost you
Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.
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