We are a domestic equity shop with a private client book as well as a number of institu- tional clients.
We are hearing a lot about compliance taking on added importance in the coming months across the industry. What are some of the key compliance-related issues you will be overseeing?
The primary thing I am looking at now has to do more with the state level rather than the federal as Massachusetts has some tighter data protec
Anthony and James delve into how the systematic internalizer regime is shaping up, and then examine the regtech sector.Subscribe to Weekly Wrap emails
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