RN 21-29 references historical guidance regarding outsourcing as it builds toward the framework that FINRA appears to expect firms to consider when outsourcing functions to third-party vendors, including outsourcing of (i) accounting/finance (payroll, expense account reporting, etc.); (ii) legal and … See more In a further lead up to the procedural roadmap, FINRA summarizes a number of exam findings and observations to highlight some of the issues it has uncovered.FINRA generally notes the following areas: 1. … See more If you have any questions or would like more information on the issues discussed in this LawFlash, please contact any of the following Morgan Lewis lawyers: Washington DC … See more As mentioned above, while FINRA stated that RN 21-29 does not impose new legal or regulatory obligations or interpretations, it does provide a procedural framework that FINRA suggests … See more Process and Documentation:Although FINRA states that RN 21-29 does not impose new regulatory, legal, or interpretive requirements, it provides a roadmap on how … See more WebJun 1, 2015 · Bank broker-dealer units that partner with TPMs are also significantly more profitable, posting average pre-tax profit margins of 29%, according to the latest data …
Outsourcing: FINRA Outlines Onboarding and Supervision …
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Why am I getting this blurb...any liquidity issue by NDAX?
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