Admin, Author at Master Compliance

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So far Admin has created 6 blog entries.

14 10, 2024

Cybersecurity Awareness Month: Key Practices for Broker-Dealers and RIAs
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Cybersecurity Awareness Month: Key Practices for Broker-Dealers and RIAs
Broker-Dealer, Cybersecurity, FINRA, Registered Investment Advisers, Uncategorized

Cybersecurity Awareness Month: Key Practices for Broker-Dealers and RIAs

By Admin|2024-10-14T13:48:03-04:00October 14, 2024|Broker-Dealer, Cybersecurity, FINRA, Registered Investment Advisers, Uncategorized|

As Cybersecurity Awareness Month begins, now is an ideal time [...]

30 09, 2024

Artificial Intelligence and Compliance Challenges in the Broker Dealer Industry
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Artificial Intelligence and Compliance Challenges in the Broker Dealer Industry
AI, Broker-Dealer, Communication, FINRA, Rules and Regulations, SEC

Artificial Intelligence and Compliance Challenges in the Broker Dealer Industry

By Admin|2024-09-30T10:51:14-04:00September 30, 2024|AI, Broker-Dealer, Communication, FINRA, Rules and Regulations, SEC|

Today’s broker dealer industry is in the midst of a [...]

3 09, 2024

Broker Dealer Vendors
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Broker Dealer Vendors
Broker-Dealer, Broker-Dealer Ownership, Cybersecurity, Vendors

Broker Dealer Vendors

By Admin|2024-09-03T13:21:36-04:00September 3, 2024|Broker-Dealer, Broker-Dealer Ownership, Cybersecurity, Vendors|

Establishing a new broker dealer involves multiple operational and regulatory [...]

15 07, 2024

Cybersecurity and Financial Services
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Cybersecurity and Financial Services
Broker-Dealer, Cybersecurity, Registered Investment Advisers

Cybersecurity and Financial Services

By Admin|2024-09-03T13:52:59-04:00July 15, 2024|Broker-Dealer, Cybersecurity, Registered Investment Advisers|

The Growing Importance of Cybersecurity for Broker Dealers and RIAs [...]

9 07, 2024

The Importance of SIPC
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The Importance of SIPC
Broker-Dealer, SIPC

The Importance of SIPC

By Admin|2024-07-15T09:16:10-04:00July 9, 2024|Broker-Dealer, SIPC|

Every six months, broker dealers are subject to a SIPC [...]

25 06, 2024

Capital Requirements for Broker Dealers
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Capital Requirements for Broker Dealers
Broker-Dealer, FINOP, FINRA, Net Capital Rule

Capital Requirements for Broker Dealers

By Admin|2024-07-11T13:54:12-04:00June 25, 2024|Broker-Dealer, FINOP, FINRA, Net Capital Rule|

Broker dealers play a vital role in the financial markets [...]