How to simplify your firm’s employee compliance activities

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Firms must stay aligned with regulations and protect against reputational risk by ensuring employees adhere to firm policies and comply with regulations. However, tracking employee compliance can be a burdensome, time-consuming, and often a highly manual process. Sam Bergen, Practice Group Lead – CRM Employee Compliance, demos how our employee compliance solution can help your firm feel confident that your employees are staying aligned with regulations and avoiding code-of-ethics violations.


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Sam Bergen

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