Episode 11. Investment compliance and regulations

FinancialPodcast.CA: Interviewing Professionals

Episode 11. Investment compliance and regulations

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An interview with Rob Hack, an adviser and a compliance officer of Customplan Financial. The topics discussed are:

• Compliance in the financial industry
• Financial fundamentals
• Saver vs investor
• Risk definition
• How to find an advisor
• How to protect yourself from fraud

Rob Hack
robh@customplanfinancial.com
http://customplanfinancialservices.com/robert-hack/