Big Data, Broker Dealers and Regulators
Written by Don Lee In the recent Technology Tools for Today conference hosted by Investment News on November 2nd in Florida, Big […]
Mark EdwardsDecember 21, 2015
Do you have a Risk Based Program?
Written by Don Lee The first question regulators often ask during an initial examination interview is ‘do you have a risk based […]
Mark EdwardsNovember 19, 2015