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Podcast: Compliance challenges in financial services

Joe Mont | March 14, 2016

In the latest edition of the Compliance Week podcast, we discuss regulatory and compliance issues facing the financial services world with Todd Cipperman, founding principal of Cipperman Compliance Services, a consulting firm that provides outsourced compliance services for advisers, broker-dealers, and funds. Among the topics we discuss are individual liability, third party compliance reviews, and the continuing buzz around “culture.”

Listen to the Podcast. (13 min., 12 MB)
 
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