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Compliance Expectations for 2021 (Part 2)


On March 17, 2020 Managing Michelle Jacko will be presenting part 2 of an exclusive Schwab “Be in the Know” web series addressing concerns of Q1 within the industry.

In “Part 2: Compliance Expectations for 2021the discussion will focus on “hot topics” and compliance program expectations for 2021. During this session, she will discuss the new Advertising Rule and explore those compliance “hot topic” focuses of the SEC.

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