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Wicked Pissah Podcast

Apr 26, 2020

Ellen Bruno, founder of Compliance Advisor Professionals, LLC, discusses compliance challenges facing advisors particularly now in the time of Coronavirus.  Topics discussed include: managing confidential information securely with remote work, compliance considerations of taking PPP funds, Filing Deadline Extensions, SEC Exams during COVID-19, Annual Notice to clients, how to take a proctored Exams (i.e., Series 65) in an era of Social Distancing, Fee Disclosure in MA, and the new ADV Part 3 requirements.`