5MARCH 2023CXO INSIGHTSCXO INSIGHTSFEATURED COMPANIESRECENT TECHNOLOGICAL ADVANCEMENTS IN COMPLIANCE AND HOW YOU TACKLE THESE CHALLENGES IN YOUR COMPANYSTEVE HARRIS,SVP, CHIEF ETHICS AND COMPLIANCE OFFICER, LINCOLN FINANCIAL GROUP28NAVIGATING THE ESG MAZE FROM STANDARDS TO DATA TO REPORTING TO REGULATIONKEVIN M. GLEASON,CHIEF COMPLIANCE OFFICER OF MAINSTAY FUNDS,AND INDEXIQ ETFS, NEW YORK LIFE INVESTMENTS24PRIORITIZING THE ELIMINATION OF REDUNDANCY FOR CLIENTS AMY JANSEN, SENIOR VICE PRESIDENT, WEALTH PRODUCT MANAGEMENT, JOHNSON FINANCIAL GROUP21DEALERS - 2023TOP 10BROKER18CARRIE WISNIEWSKI,PRESIDENT & FOUNDER MARK M. OSWALD,CHIEF COMPLIANCE OFFICER20MICHAEL GRAHAM, CFP®, PRESIDENT ANDCHIEF EXECUTIVE OFFICERMember FINRA/SIPC
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