Tag: Merrill Lynch
Why Merrill Lynch’s $7.5m penalty should worry AML teams
The US Securities and Exchange Commission (SEC) has fined Bank of America's Merrill Lynch business $7.5m after finding the firm failed to file numerous...
How intermediary channels enhance mutual fund distribution efficiency
As a firm prepares to launch a mutual fund, it's crucial to establish a solid distribution strategy. ACA Group, which offers governance, risk and compliance support, recently offered a guide for intermediary channels for mutual fund distribution.
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