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with Ellen Bruno of Compliance Advisor Professionals, LLC
Ellen Bruno, founder of Compliance Advisor Professionals, LLC, discusses compliance challenges facing advisors particularly now in the time of Coronavirus. Topics discussed include: managing confidential information securely with remote work, compliance considerations of taking PPP funds, Filing Deadline Extensions, SEC Exams during COVID-19, Annual Notice to clients, how to take a proctored Exams (i.e., Series 65) in an era of Social Distancing, Fee Disclosure in MA, and the new ADV Part 3 requirements.`
