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SVP of Regulatory Enforcement Remediation, Simpluris
Blog
Benchmarking: A Key Tool for Making Informed Decisions In an increasingly competitive and complex regulatory environment, wealth management firms cann...
Podcast
Exploring the Shifting Landscape of Reg BI and Fiduciary Duty The standards of care for financial services professionals are undergoing a significant ...
Article
How NASAA and FINRA Rules Are Safeguarding Seniors As the financial industry approaches a decade since the adoption of the NASAA Model Act (January 20...