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Risk Management for Compliance Officers
Steven W. Ortquist, President, Arete Compliance Solutions, LLC. Scott Grubman, Partner, Chilivis, Cochran, Larkins & Bever.
November 4, 2019
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How and when are compliance officers at risk? What guidance, enforcement actions and war stories tell us
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Managing and mitigating risks: How can you protect yourself?
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What to do if you run into a challenge
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