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D.A. Davidson
In addition to his position at D.A. Davidson, Mark is also an Industry Advisory Committee Member representing clearing firms on the US Advisory Operating Committee of the Consolidated Audit Trail.
Blog
Oyster Solutions Significantly Advances its Versatile Platform Oyster Solutions, the industry’s premier provider of governance, risk and compliance ...
Podcast
Evolving Regulatory Expectations for CAT and CAIS The regulatory landscape for broker-dealers continues its rapid evolution, particularly regarding CA...
FinCEN recently enacted AML compliance requirements for most registered investment advisors by designating them as Financial Institutions under the Ba...