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Financial Services

5 Tips for Avoiding Broker-Dealer Compliance Exposure

Posted 4:00 PM by
Navigating the current landscape of regulatory compliance is not easy. For broker-dealers, neither is managing the required annual report filings. But having insight about common compliance exposures and how to avoid them can help ensure your business is protected from costly mistakes.
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10 Ways Tax Reform Is Impacting Financial Services

Posted 4:00 AM by
The effects of tax reform are wide-reaching, but for financial services professionals – including alternative investors, broker-dealers, registered investment advisors, and wealth managers – the impact will be keenly felt not only in the financial services industry itself but also in the industries in which they are invested.
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