Tag: Broker-Dealer Compliance
ACA Group expands services with acquisition of FINOP Consulting
ACA Group has acquired FINOP Consulting a firm specializing in financial and operations principal outsourcing for broker-dealers.
Ensuring investor protection: Understanding FINRA’s KYC and suitability rules
In the financial regulatory landscape, understanding and adhering to FINRA's Rule 2090, commonly known as the KYC rule, is crucial for brokerage firms.
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