Business, Management and Accounting
2 years ago

Broker-Dealer Compliance Shapes Financial Landscape, Safeguarding Investments Nationwide.

2 views
Edward Elgar Publishing eBooks
Introduction: why broker-dealer compliance?
James A. Fanto

Paper Summary

The article introduces broker-dealer compliance, discussing its history, organizational structures, and the relationship between compliance officers and regulators. It also considers the future of broker-dealer compliance, including the pressures and trends shaping it.

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