An Ounce of Preparation Equals a Pound of Compliance
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New federal and industry regulations don’t have to bury your investment firm’s IT staff. Here are three steps for setting up a strong compliance system.
Compliance and regulation are not new terms to the financial industry, as legislators and government officials have long sought to protect the investments and financial integrity of consumers and corporations. For the past two years, these companies have focused on two major technology initiatives: The Trade Plus One Day (T+1) Mandate/Straight
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