Adam Hayes, Ph.D., CFA, is a financial writer with 15+ years Wall Street experience as a derivatives trader. Besides his extensive derivative trading expertise, Adam is an expert in economics and ...
In the July 2012 Regulatory Notice 12-25, Finra provides additional guidance on the issue of “suitability.” Specifically, Finra states “a broker must have a reasonable basis to believe that a . . .
There has been an increased amount of scrutiny and evolutionary development regarding the accuracy of risk management questionnaires and their efficacy as a long-term investment tool. One FinTech ...
SAN FRANCISCO--(BUSINESS WIRE)--Vanta, the leading trust management platform, announced today the addition of Vanta AI and Questionnaire Automation in Trust Centers, enabling enterprises to ...
The OSC wants you to complete the 2016 Risk Assessment Questionnaire, which gathers comprehensive information about registrants’ business operations for the purposes of risk ranking registrants and ...
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