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Tag: independent broker/dealer

How Do You Sleep?

Not getting enough sleep contributes to systemic inflammation, hormone imbalances and can impair our judgment similar much the same way as alcohol. This blog post gives tips on combatting lack of sleep.

 

 

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Outsourcing the Compliance Function

In a recent SEC Risk Alert on the issue of outsourcing compliance, the SEC’s concerns centered on a third-party provider’s scope of authority, its communication with staff and whether an outside compliance provider with multiple clients had the resources to sufficiently service the firm.

 

 

 

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