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Avoid Regulatory Action with Broker-Dealer Compliance Software

In a landscape rife with legal obligations, few financial firms are as heavily regulated as broker-dealers.

From transaction monitoring and conflict management to complex customer protection rules, the resources needed to maintain compliance are significant—but not as high as the costs of being found non-compliant.

In this article, we’ll look at the regulatory landscape for broker-dealers and what firms can do to stay on top.

 

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A Quick Guide to Compliance Management

Between security, financial, and many other regulations, compliance has become a critical business function for every large organization. Keeping track of the rapidly evolving compliance landscape requires time and resources. And actually becoming and staying compliant? That’s a whole other ball game.

 

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How Compliance is Reacting to COVID-19 Crisis

As most employees are now working from home, without a doubt, compliance has become more challenging and regulators expect firms to be prepared to manage the risks and challenges promptly. Compliance Week has run a survey to understand how prepared were compliance professionals and organizations for the COVID-19 pandemic.

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Dealing with Corporate Gifts During the Festive Season

Yes, that wonderful time of the year has arrived again. The time where most of your employees will receive gifts from customers and third-party. Risks are evident, but there are a few things to consider in order to maintain gift compliance. Read through the blog and ask yourself: Is your organization prepared to deal with corporate gifts this season and all year long? Are you aware of FINRA gifting guidelines?

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6 Ways To Mitigate Risk During Gift-Giving Season (All Year)

The holidays are here. The office is filled with cheer. . . and gifts that might be putting your organization at risk.

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