Key issues for broker-dealers - grant thornton llp

Highlights from grant thornton llp's broker-dealer industry roundtable key issues for broker-dealers on may 11, 2011... † controls around direct market access.

Broker-dealer controls regarding retail sales of ...

. by the office of compliance inspections and examinations ("ocie") 1. volume iv, issue 7 august 24, 2015. broker-dealer controls regarding retail

#23 retail sale of non deposit products - texas

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The prime brokerage industry - kpmg | us

The prime brokerage industry is ever expanding... and controls. one prime broker... of the aicpa broker-dealer expert panel...

Broker-dealer supervision: a new paradigm - suny

Broker-dealer supervision: a new paradigm... best execution to its retail customers... "the regulatory focus on broker-dealer legal and compliance

Dcs1076701 finra and sec priorities overview

And broker dealer surveillance and reporting of... broker dealers have controls in place that address the... dcs1076701 finra and sec priorities overview.pptx...


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