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Wendy Lanton

Wendy Lanton

Chief Compliance Officer, Lantern Investments

Wendy Lanton is Chief Compliance Officer at Melville, NY-based Lantern Investments.

Latest from Wendy Lanton

SEC
Regulation & Compliance
Internal Conflicts When Considering Compliance OutsourcingInternal Conflicts When Considering Compliance Outsourcing
byWendy Lanton
Dec 14, 2015
4 Min Read
Investment Profiles of Senior Clients Can Be Misconstrued
Client Relations
Investment Profiles of Senior Clients Can Be MisconstruedInvestment Profiles of Senior Clients Can Be Misconstrued
byWendy Lanton
Oct 20, 2015
5 Min Read

All from Wendy Lanton

Make Your Client Relationship Personal and Keep It Compliant
Regulation & Compliance
Make Your Client Relationship Personal and Keep It Compliant
Make Your Client Relationship Personal and Keep It Compliant
Sep 30, 2015
|
5 Min Read
byWendy Lanton, Chief Compliance Officer
The Fiduciary Rule Should Be Education
Regulation & Compliance
The Fiduciary Rule Should Be Education
The Fiduciary Rule Should Be Education
Aug 31, 2015
|
4 Min Read
byWendy Lanton, Chief Compliance Officer
How to Get More Complete Information From Your Client
Regulation & Compliance
How to Get More Complete Information From Your Client
How to Get More Complete Information From Your Client
Jul 21, 2015
|
4 Min Read
byWendy Lanton, Chief Compliance Officer
Cybersecurity is Not Just for the Big Firms
Business Planning
Cybersecurity is Not Just for the Big Firms
Cybersecurity is Not Just for the Big Firms
Jun 22, 2015
|
5 Min Read
byWendy Lanton, Chief Compliance Officer
Establishing a Sound Corporate Culture Can Alleviate Compliance Problems
Regulation & Compliance
Establishing a Sound Corporate Culture Can Alleviate Compliance Problems
Establishing a Sound Corporate Culture Can Alleviate Compliance Problems
Apr 21, 2015
|
4 Min Read
byWendy Lanton, Chief Compliance Officer
Don’t Give up Your FINRA License
Business Planning
Don’t Give up Your FINRA License
Don’t Give up Your FINRA License
Jan 28, 2015
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5 Min Read
byWendy Lanton, Chief Compliance Officer
The Dreaded Annual Compliance Questionnaire
Regulation & Compliance
The Dreaded Annual Compliance Questionnaire
The Dreaded Annual Compliance Questionnaire
Nov 24, 2014
|
3 Min Read
byWendy Lanton, Chief Compliance Officer

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