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Fiduciary Rule - Is NJ taking the lead? And SEC testimony! All last week

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Webcast & Presentation on Industry Trends and Regulator Expectations for 2019 for BDs and RIAs

DDW President, Michael Freeman, gives webcast on 'Regulator Expectations for 2019 for BDs and RIAs'...

Chasing Ghosts

Product Teams Waste Time Chasing Ghosts

We have a broker-dealer client who receives calls from...

The New Normal for Due Diligence Departments

Product research (or due diligence) departments have typically focused on Alternative Investments...