Ron KulikJan 10, 20212 min2021 Stimulus ScamWith the election season winding down, and a new administration announcing plans for the future, there will be another factor that...
Ron KulikDec 14, 20202 minThe New Guidelines of Client Supervision and Communication from FINRA FINRA has released guidelines on how to supervise representatives when they conduct meetings with clients via audio or video conferencing
Ron KulikNov 10, 20203 minCompliance Alphabet SoupNo matter what industry you’re in, compliance acronyms are abundant.
Ron KulikNov 10, 20203 minCompliance is a Team ProjectYou can have the best technology, the most intense compliance officer, and still completely fail at successful compliance if...