Packed house at #RCA2017 for 'fighting financial exploitation and keeping savings safe' keynote with Jilenne Gunther of AARP.
Pace/volume of regulatory change is the number one concern among 1,800 attendees at #ABARCC
Exam Trends at #RCA2016 discussing Policies & Procedures Framework: Establish, Communicate, Implement, and Test.
FBI Special Agent David Chaves at #RCA2016: Policies and procedures must be a living, breathing organism to foster culture of compliance.
Policies and procedures should be separate documents, don't let them become "poledures." #grc2020 #regedworkshop15
Nicole Klemm retweeted
@MichaelRasm: Lack of central policies repository creates inability to manage risk and regulation dependencies #grc2020 #regedworkshop15
View from the Morningstar Investment Conference - packed house for @Vanguard_Group's John Bogle #MIC25
Bogle: focus on fund shareholders “Every time I did something for mktg reasons it ended up on the long list of things I shouldn't have done"
"The retirement system in the US is facing a train wreck. Or to be clear, three train wrecks." - John Bogle #MIC25
A conversation with John Bogle and Don Phillips at #MIC25 with @blano and @Caitlin_Zucal. Bogle has requested only the hard questions!
RT: SEC Commissioner Elisse Walter at #FINRA believes ban on general solicitation should be lifted but investor protection be considered
