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SVP of Regulatory Enforcement Remediation, Simpluris
Podcast
Understanding the FINRA CMA Process For broker-dealers, significant business changes often require filing a Continuing Membership Appl...
Article
In today’s financial services environment, firms face complex regulatory obligations and heightened expectations from clients and regulators alike. ...
Fragmented Systems Create Risk Chief Compliance Officers (CCOs) know that testing and the audit process are critical pillars of an effective ...