Welcome to Our Blog: FINRA

Product Committee Webinar - It doesn't have to be onerous, but it does have to be right

Do you have a Product Committee, is it set up the right way, and how does it compare to your peers?

DDW is entering our 3rd year.  Honored to serve 27 firms in the US and Canada.  Thank you and Happy Holidays.

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Is Your Due Diligence Independent - Truly Beyond Reproach

August 21, 2018 - Think Advisor

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'...