Summary: During a Financial Planning webinar addressing audit readiness, Brian Hamburger, founder and president of MarketCounsel, a leading business and regulatory compliance firm, and Robert Molinari, vice president of compliance at Commonwealth Financial Network, laid out some best practices for preparing for regulatory audits
 When we see where the examiners are spending their time and where they're asking their questions, where they're coming back for further details, it seems to be pretty consistent with their stated examination priorities."Brian Hamburger, founder and president, MarketCounsel.. |
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