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By Ralph Magee

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  • Who We Are
    • Who We Are
    • Leadership
    • Consultants
    • Business Development
  • What We Do
    • What We Do
    • Consulting
      • Consulting
      • Strategy
        • Strategy
        • Clearing and Custodian Contract Review
        • Succession Planning
        • Management Consulting
      • Compliance
      • Operations
        • Operations
        • Clearing Conversion Support
        • Future Operating Model
        • Platform Review
        • Technology Review
      • Technology – Cybersecurity / Digital Transformation
      • Capital Markets
        • Capital Markets
        • Trade Desk Review
        • Market Access
        • Consolidated Audit Trail
      • Registration
        • Registration
        • Broker-Dealer FINRA New Member Application
        • Registered Investment Advisor Registration
      • Finance
      • Expert Witness
    • Outsourcing
      • Outsourcing
      • Consolidated Audit Trail
      • Outsourced Chief Compliance Officer (CCO)
      • Outsourced FINOP Services
      • Trading Supervision
    • Compliance
      • Compliance
      • Testing (Assurance)
        • Testing (Assurance)
        • Broker-Dealer Rule 3120/3130 Services
        • Branch Exams
        • Anti-Money Laundering (AML) Annual Testing
        • Registered Investment Advisor (RIA) Annual Compliance
      • Support
        • Support
        • Broker-Dealer and RIA Compliance Support
        • Form ADV Services
        • New Products Process Review
      • Program Review
        • Program Review
        • Broker-Dealer Compliance Program Review
        • Code of Ethics, Policies & Procedures Manual, Written Supervisory Procedures
        • Anti-Money Laundering (AML) Compliance Program
      • Registration
        • Registration
        • Registered Investment Advisor Registration
        • Broker-Dealer FINRA New Member Application
      • Remediation
    • Governance Risk Compliance Software
      • Protect
      • Focus
      • Mobilize
      • Analyze
      • CAT Reporting
  • Our Clients
    • Our Clients
    • Broker Dealer
    • Exchanges / ATS
    • Investment Advisors
    • Law Firms
    • Additional Clients
  • What We Think
  • Contact Us