In 2018, prevalent and emerging risks are creating a significant impact across the securities and financial services industries.  Some of the key emerging risks include: industry-wide cyber-attacks, retrospective exposures, blockchain … Continue reading SIFMA Internal Auditors Society Seminar: Stay Strong fo 2018 →

Join the FMS for a fundamental training, where participants can hear from industry participants on the following topics: Discover the origins of Broker/Dealer Financial Responsibility Rules Determination of Net Capital … Continue reading SIFMA Financial Management Society: Fundamental Training – Net Cap & Customer Protection →