The Compliance department plays a critical role in ensuring the firm adheres to all applicable securities laws and regulations. This includes overseeing the development and implementation of policies and procedures designed to prevent violations, conducting regular audits and reviews, and providing ongoing training to staff. The department also works closely with regulatory bodies and ensures accurate reporting and documentation of the firm's activities.
There are a ton of financial planning resources available, but how many of those are applicable to both beginner and advanced financial learners? The Financial Call has the answers. We've built this podcast so no matter where you're at with your financial knowledge, you can jump in at the beginning, learn the basics and then build upon that.
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