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Author: damster

A man sitting at a desk with a graph on the screen.
Compliance Risk...
October 2, 2017
Lowering Your Cost Of Compliance [video]

With regulatory aggressiveness at historically high levels. Financial institutions must rethink how they thread the […]

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lower-research-costs
Compliance/ Risk
February 28, 2017
Compliance Pro-Tip: Lowering Your Research Costs

Looking for an easy way to lower the operating costs of your Research Department? Consider […]

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A brochure with a man in a suit and a business card.
Broker Dealer...
January 17, 2017
Bulletin: FINRA 2017 Regulatory and Examination Priorities...

Sometimes, Being Two-Faced is a Good Thing… Spotlight On Talent: David Amster, Principal and Head […]

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Image of CRC Brochure with titled "Who You Callin'a Fiduciary???"
Compliance Bulletin...
October 10, 2016
Who You Callin' A Fiduciary???

COMPLIANCE BULLETIN: DOL FIDUCIARY RULE Spotlight On Talent: David Amster, Principal and Head of Fund […]

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