Wednesday, September 20, 2006

Broker-dealers hurting for pros in compliance - September 18, 2006 - Dan Jamieson - InvestmentNews

We have noticed in our practice an upswing in our broker-dealer compliance work. Firms are increasingly calling upon our firm, and we assume others, to address internal compliance issues. We learned today that it is not just us - there is a shortage of compliance personnel - Broker-dealers hurting for pros in compliance - September 18, 2006 - Dan Jamieson - InvestmentNews: "Broker-dealers hurting for pros in compliance"
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