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Due Diligence Works

Welcome to New York, Welcome NYS Reg 187

NYS Reg 187 is coming, R U ready.  Attend our Webinar Series this Friday at Noon (click below), and we will walk through what needs to be done and...

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Due Diligence Works

Product Committee in a Box

Need to set up a product committee?  Wondering if your product committee is on par with your peers?  Thinking your product committee is too...

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Due Diligence Works

DDW Product Score

By popular demand from our clients, finally - a 10-page Due Diligence Report in One Number.  Welcome the DDW Score, coming soon.  Check out an...

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Due Diligence Works

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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Due Diligence Works

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

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Due Diligence Works

Chasing Ghosts

Product Teams Waste Time Chasing Ghosts

We have a broker-dealer client who receives calls from Advisors every week asking to add a new product to the...

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