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10 critical compliance issues for 2014

John P. Huggard, CFP, CLU

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Most presentations made to financial professionals tend to deal with how to increase business and, therefore, increase their income. Huggard emphasizes how you can protect your practice and keep from losing business — therein losing income — by failing to comply with standards set by regulators or that may result in litigation. Every year, regulators concentrate their regulatory efforts and investigations into areas they believe are creating problems. Join Huggard as he outlines the 10 biggest issues they look for.

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