Special Episode with the Deputy Commissioner, Securities Division of the Vermont Department of Financial Regulation

Coffee & Regs - A podcast by CSS (Compliance Solutions Strategies)

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Business Technology

In this special episode, CSS’s Director of Retail Wealth Manager Services, Korrine Kohm and William R. Carrigan, Deputy Commissioner, Securities Division of the Vermont Department of Financial Regulation discuss the latest news for registered investment advisers, including what will be required in 2022 surrounding continuing education requirements, the implementation of the new Marketing Rule and what’s next for Form CRS.