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A guide for compliance officers in enterprise financial firms
A guide for compliance teams operating in enterprise financial institutions
Push people into a financial corner and they can justify all kinds of conduct they might not..
Advisers Act Rule 206(4)-5 isn't breaking news, but is serious enough to warrant a refresher
This week, Elinphant CEO Elin Cherry lends us her expertise in handling this increasingly common..
The latest MiFID makes trade surveillance a priority. We drill down and help you get your head..