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SM&CR 5 key issues

As we approach the second anniversary of the roll out of SM&CR to all solo regulated firms, we have an…

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Empowering the Supervisor

Just what is a supervisor? Well, there are numerous definitions. One I found was “one’s immediate superior in the workplace,”…

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Standards vs expectations

You would think in a world of compliance that I wouldn’t have to write an article about the differences between…