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June 29 | Fireside Chat: Transitioning Compliance Technology Solutions

June 29 | Fireside Chat: Transitioning Compliance Technology Solutions
complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.

Taylor Johnson , Chris Ditata , Amy Kadomatsu , Schwab Compliance Technologies , Complysci Chief Executive Officer Amy Kadomatsu , Chief Executive Officer , Vice President , Customer Success , Senior Vice President , Compliance Operations , General Counsel ,

How financial advisors can take the stress out of annual reviews

Chris DiTata, vice president and general counsel of RIA in a Box, shares recommendations on how to make the process headache-free. ....

Chris Ditata , Financial Planning , Practice And Client Management , Regulation And Compliance ,

Top securities frauds last year involved promissory notes, stocks and social media, NASAA says

While the pandemic slowed down investigations and court cases, state regulators continued to chase financial scamsters, data shows. ....

New York , United States , Joseph Borg , Chris Ditata , Melanie Senter Lubin , American Securities Administrators Association , Alabama Securities Commission , Texas Enforcement Director Joseph Rotunda , Protect Vulnerable Adults , Financial Exploitation , New York City Based , Regulation And Compliance , Securities Fraud ,