Regulatory exams and sweeps are enough to keep any CCO up at night. In today’s podcast, Ed Wegener and Len Derus, both former FINRA regulators, walk through what helps inform regulator decisions about what to look for in an exam, how regulators identify areas for a sweep, and how you can use sweep letters to your advantage.  

CRC-Oyster: Compliance Risk Concepts / Oyster Consulting