The Protiviti View  | Insights From Our Experts on Trends, Risks and Opportunities

The Protiviti View

Insights From Our Experts on Trends, Risks and Opportunities
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FINRA’s New Senior Investor Rule and CFPB’s Latest Developments Discussed in This Month’s Compliance Podcast

In our February Compliance Insights podcast, Jill Smiley, a Director, and Steven Stachowicz, a Managing Director with our Risk and Compliance practice, discuss FINRA’s new rule on protecting senior investors and the CFPB’s recent Request for Information notices  – two of the topics covered in this month’s Compliance Insights newsletter. Download the full February issue at […]