Regulatory and Operational Excellence

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Recent high market volatility and trading volume have made operational efficiency and compliance oversight even more critical. Learn how our resources can help in an evolving industry.

Featured Videos

Solutions Overview

E-Delivery: Modernizing the Regulatory Communications Framework to Meet Investor Needs for the 21st Century

A case for amending relevant investor communication rules to permit shifting of the default delivery method to e-delivery. SIFMA, 2020

Navigating Risk in Today’s Uncertain Environment

A guide to protecting your clients and your practice in an evolving regulatory landscape.

Rebounding with Confidence: Achieving Operational Excellence in a Post-Pandemic World

Learn what you can do to achieve and retain operational excellence as we emerge from the pandemic.

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