AxiomSL: Broker Dealers: Beyond Capital and Compliance Challenges
The latest SEC and CFTC compliance mandates addressing customer asset protection compel broker dealers to evaluate their firm’s operations with respect to accountability, transparency and risk management. Intensifying transparency and data granularity demands in an increasingly complex market structure are forcing firms to break down traditional silos and re-architect their operating models in order to gain a holistic picture of their front-to-back operations.
Broker dealers are struggling
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