As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
On October 12, 2022, the SEC adopted amendments to the electronic recordkeeping, prompt production of […]
On September 27, 2022, the SEC announced charges against 15 broker-dealers and one investment adviser […]
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Principal and Head of Execution Services
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Principal and Head of Fund and Dealer Advisory
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