Investment Management

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  • Recruitment Flier and Email My name is Valeria Lewis-Gunn.  I am a doctoral candidate at Northcentral University.  I am conducting a research study to explore Human Resource Director's (HRD) and Compliance Officer's (CO) perceptions on compliance workloads ...

  • Hi all, I am wondering if anyone has compliance experience with an in-house solicitation/referral program for RIAs? We have a subsidiary and we are looking at implementing a referral bonus program between the two companies. I would greatly appreciate ...