RegEd Solution. RegEd’s CE Central solution simplifies the management of producer compliance with state CE requirements. CE Central marries licenses held in user profiles with jurisdictional requirements to create a single, comprehensive view of each producer’s requirements.
HomeWorldwide Broker Network
Worldwide Broker Network Limited is registered in England, number 4972183, registered office address Witan Gate House, 500-600 Witan Gate West, Milton Keynes, MK12 1SH
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FINRA fined a large broker-dealer $2 Million for under-resourcing its compliance function, thereby allowing unlawful short-selling. As the firm’s trading activity increased, the firm continued to rely on a primarily manual system to monitor compliance with Regulation SHO’s requirements.
NCS Regulatory Compliance - Expert Compliance Support
Cyber Security Watch. Combining what we know with what technology can do – leading the way in regulatory compliance. Cybersecurity is unfamiliar territory for many investment adviser and broker-dealer firms, despite the fact that most organizations maintain an online presence and use online software services containing sensitive firm or.
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