Issues related to record-keeping contingencies have appeared at the forefront of the concerns expressed by leading Financial Institutions.
According to Matt Simon from Aite Group the nirvana of true holistic surveillance is here and is ready to adapt — though it just might require firms to take a bold new approach.
SIFMA recently hosted the Regulation Best Interest Vendor Forum in New York. Dave Ackerman was part of the panel "Documenting Best Interest, Supervision and Surveillance," and shares his 3 top of mind take-aways from the discussions.
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