How to Deal with Regulators in Tough Situations | CDD

Welcome to Compliance Dos & Don’ts, where experts share their licensing and compliance knowledge.  Today, Rich Fidei from Greenberg Traurig returns to share his dos and don’ts for dealing with regulators in tough situations.  His secret for success: Present a clear, consistent message to regulators that addresses their concerns directly and honestly.

And if you only learn one thing from this podcast, let it be this: Regulators aren’t the adversary.