Broker-Dealer Sales Practices Oversight: The Secrets Of Their Success
Publisher: Albridge Solutions
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Based on research derived from extensive personal interviews and in-depth surveys with 70+ broker-dealer executives, you'll gain insights into the: Strategic and tactical "hot spots" that the regulators are emphasizing Positive impacts of uniform compliance requirements for all broker-dealers, their investment professionals and clients Broker-dealer best practices for sales practices monitoring And, to help guide the implementation of these best practices, we featured case studies from a range of top performing broker-dealers.
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