This is a webinar presented by ALLIA Consulting to inform and generate ideas on how to optimize broker dealer compliance in reviewing the latest regulatory updates from FINRA and SEC, CAT requirements, and AML for broker dealers. https://vimeo.com/389131349 Please download our service page to see how we can help.
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Before year-end, as everyone is preparing to take some much-deserved time off, CCOs should take some time to plan for what will be awaiting them in the New Year.
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