Compliance Budget

Mid-Year Compliance Budget Planning

Reviewing your current mid-year compliance budget plan and adjusting for the rest of the year is important. With COVID-19 taking up a substantial portion of the first half of the year, your vision and budget for 2020 may have drastically changed.

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Outsourcing and Compliance Responsibilities

In the broker-dealer industry, firms are always looking for ways to increase efficiencies while reducing budget constraints.  One way that this is accomplished is through outsourcing certain functionalities to third-party service providers.  What areas do firms commonly outsource?  It runs the gamut – everything from IT services and website development, office cleaning and maintenance services, accounting/payroll activities, order management services and quote providers, AML/OFAC screening and technologies, to legal services and back-office compliance and Read More…