Tuesday, September 17, 2019

Keeping Up with FINRA & SEC Compliance Trends

On the state level, the State of Massachusetts fined a broker-dealer firm $100,000 for mishandling client information held within third-party CRM software. There a many other cases of penalties for ...

from crm - BingNews https://ift.tt/2LVqctL
September 17, 2019 at 07:00PM

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