First Friday Feedback: September 2024

Duane Lee, EVP and Subject Matter Expert for Cannon, joined Phil for this month's episode of First Friday Feedback. With a passion for the financial services industry and decades of experience, Duane has deep expertise in numerous areas. In this episode, he shares valuable knowledge and insight on key themes in compliance, audit, and regulatory risk. Tune in for this episode's insightful take on the current shifts shaping our industry.

Resources:

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Duane Lee II - LinkedIn

SEC Reports - SEC.gov | Reports and Publications

FINRA Reports - Risk Monitoring Report Cards | FINRA.org

FIRMA Conference - FIRMA - Home (thefirma.org)