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ComplianceCasts™

XML Securities, LLC, a full-service broker-dealer and its affiliate investment advisor, XML Financial Group, were challenged to compile compliant and…

Cybersecurity is a fast-moving target, so it is not uncommon for firms to have questions when it comes to assessing…

This is the second installment of Regulatory Guidance Expert Greg Hotaling’s blog on position limits, this time addressing EU-listed commodity…