Video

Patrick Dominguez, the director of investment adviser services for Gordian Compliance Solutions, LLC, sat down with Jessica Greer, VP of Willow Oak Asset Management, to discuss tips for staying on the right side of regulatory requirements which are most frequently flagged in SEC deficiency letters.

Jessica Greer, vice president of Willow Oak Asset Management, and Patrick Dominguez, director of investment adviser services for Gordian Compliance Solutions...