"The most effective educators are those who teach from experience in a similar setting. ReGroup marshaled deep experience in the investment management industry to provide practical, actionable advice to seasoned and new compliance professionals alike."
Maureen M., Vice President and Chief Compliance Officer
Read MoreA mid-sized registered investment adviser’s compliance testing revealed the need for a clear, consistent compliance training program for both new and current employees.
Read MoreA privately-held, $40B asset manager had expanded its UK-based operations to the US, necessitating its registration with the SEC and adherence to US federal guidelines.
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