What is a Parenting Coordinator and Why Do We Need One?
There are times when it makes sense to hire an expert. Securities regulations are complicated, and failure to comply can be costly, both in terms of fines and damage to reputation. Here are the top reasons registered...more
The action underscores the need for investment advisers and broker-dealers to maintain robust policies and controls when utilizing third-party contractors. On May 27, 2016, the Securities and Exchange Commission (SEC)...more