As the banking and securities industries undergo a radical shift in legislative and regulatory actions, the need for reliable financial compliance software is increasingly becoming essential. The current global economic crisis has prompted regulators of the Securities and Exchange Commission (SEC) and the National Association of Security Dealers (NASD) to go into full-on enforcement mode. Compliance officers who in the past may have dismissed regulations like NASD Rule 3060 as innocuous, will now have to adjust to a environment of close scrutiny.
Administration When Starting Your Own Small Business
Starting up your own business is an exciting and sometimes scary time. It’s hard to know what the best strategy to take is, but there … Read More