Identify Your Compliance Exposures
Before Someone Else Does
Recent actions by regulatory agencies have resulted in significant penalties and disciplinary measures because of violations.
BDManager, provides broker /dealers with timely reporting by brokers and client on an exception basis that can help firms in controlling their exposures.
Critical reports are prepared clearing firms’ data and distributed early each morning
…in time to react to situations.
Critical reports are prepared clearing firms’ data and distributed early each morning
…in time to react to situations.