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As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA ...
For more on artificial intelligence (AI) in investment management, check out The Handbook of Artificial Intelligence and Big Data Applications ...
In Agatha Christie’s mystery novel Hallowe’en Party, a young guest who may have witnessed a murder drowns in an apple-bobbing basket. In the ...
For more on artificial intelligence (AI) in investment management, check out The Handbook of Artificial Intelligence and Big Data Applications ...
Validation of Risk Management Models for Financial Institutions: Theory and Practice. 2023. Edited by David Lynch, Iftekhar Hasan, and Akhtar ...
In November 2022, FINRA published a podcast that discussed available guidance concerning several paths through which broker-dealers can be approved by ...
Innovation Drives Value Creation Innovation has always propelled economic progress and wealth creation. Investors once accessed the growth ...
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA ...
Overview At the end of January, the SEC’s Division of Examinations published a Risk Alert to highlight observations from examinations related to ...
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA ...
Plunder: Private Equity’s Plan to Pillage America. 2023. Brendan Ballou. PublicAffairs. People stop in their tracks when they see the ...
