Category: Training
Compliance Program Rule, Rule 206(4)-7 | Examinations and Audits | Hardin News | Training
Jaqueline Hummel to speak at Cincinnati Compliance Roundtable on SEC Exams
Jaqueline Hummel, Partner and Managing Director of Hardin Compliance Consulting will be providing an insider’s view from a consulting firm’s experience during 32 SEC investment advisers’ exams. The presentation will…