Compliance Challenges for Dually-Registered Firms

Wolters Kluwer invited Oyster Senior Consultant Robert Tuch, Esq. to write an article on “Compliance Challenges for Dually-Registered Firms,” which is in the latest issue of Practical Compliance & Risk Management for the Securities Industry. We hope you find it useful. If you would like to hear more on this topic please call Oyster Consulting at (804) 965-5400, or visit our website at www.oysterllc.com. We would also be happy to speak with you in greater detail about any other consulting needs your firm may have.

Click here to download the article pdf.     Compliance Challenges for Dually Registered Firms – Tuch

Click here to view the latest, complete issue of “Practical Compliance & Risk Management for the Securities Industry.” Practical Compliance & Risk Management for Securities Industry

Oyster Consulting, LLC
4128 Innslake Dr
Glen Allen, VA 23060
804-965-5400
oysterllc.com

LEAVE A COMMENT