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A dealer goodwill tale is a cautionary tale worth paying attention to.
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A CMS is the method by which a dealer manages the entire compliance process, including not only a compliance program, but also an audit function.
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If you do not have a CMS and continuous monitoring in place now, today is a good day to start.
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Attorney and Mosaic Compliance Services cofounder Jim Ganther will deliver a featured presentation on Easy-to-Implement Processes and Controls at Compliance Summit in September.
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