127: Nell Sloane – Becoming a CTA—How to Begin Managing Money
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The Role of Compliance in Regulatory Compliance
The key thing is ethics training, AML every year, the policies that they put in place have to be followed. That's why they reach out to our firm upon which we would usually have somebody within our compliance department help them and actually do an onsite visit. We want to make sure that you have a booklet to reflect that it's been reviewed and approved before dispersing.
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