Michael Saarinen was a speaker during this event hosted by the ACA Compliance Group.
The SEC requires that firms identify their risks so that they then can put in place appropriate control to mitigate those risks. Many firms struggle to create a risk inventory that is properly tailored and customized to their advisory business. Panelists discussed common risk areas and techniques on how to identify them in order to build out a comprehensive and meaningful risk inventory for your firm.
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May 3-5, 2017
PGA National Resort & Spa / Palm Beach Gardens, FL