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Regulatory changes that endanger your licences – Dan Richards

FinalytixIndustry News Regulatory changes that endanger your licences – Dan Richards

Regulatory changes that endanger your licences – Dan Richards

 

Regulatory changes that endanger your licences – Dan Richards

In part six of an eight-part series, “How not to get sued,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss how an issue with one regulator is is increasingly requiring advisors to respond to several regulators or certification bodies.
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