Bates Compliance-SIFMA Webinar Highlighted by WealthManagement

A recent article from WealthManagement.com highlights comments made at the Bates Compliance-SIFMA webinar on virtual branch office visits on October 5, 2020. The article mentions Bates Compliance Director Jill Ehret and her recommendations that firms complete as much “prep work” as possible to prepare for reviews remote inspections. This webinar is available for on-demand viewing from SIFMA.

Read the article on WealthManagement.com