SEC Initiative - Brokers and dealers to have risk controls in place before providing their customers with access to the market: A Measure by the SEC
Abstract:The Securities and Exchange Commission (SEC) adopted a new rule, making it imperative for brokers and dealers to engage risk controls before allowing customers to trade in the market.
Compliance Trainings
Understanding the new NAIC (National Association of Insurance Commissioners) Model Regulation
By - Bob Benoit
On Demand Access Anytime
By - Bob Benoit
On Demand Access Anytime
The SEC's New Whistleblower Rules: Implications for your Company's Compliance and Fraud Program
By - Douglas Park
On Demand Access Anytime
By - Douglas Park
On Demand Access Anytime
The SEC's New Whistleblower Rules: Implications for Your Company's Compliance and Fraud Program
By - Craig M Taggart
On Demand Access Anytime
By - Craig M Taggart
On Demand Access Anytime
Compliance Standards
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