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Foreside Connections Webinar: IA 2020 Year-End Review and Critical Compliance Reminders


During our recent webinar, Foreside discussed year-end compliance priorities for Investment Advisors, including:

  • Best practices for addressing pandemic-related risks in 2020 (and going forward)
  • Effective testing programs & annual reviews
  • Remediation of known risks/issues (has my firm addressed SEC priorities?)
  • Compliance checklists, training, and reporting

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