XML Securities, LLC, a full-service broker-dealer and its affiliate investment advisor, XML Financial Group, were challenged to compile compliant and......
Ascendant Senior Consultant Melanie Mendoza has over 30 years of investment compliance industry experience, focused on investment advisers, registered investment…
On March 14, 2018, the Securities and Exchange Commission (“SEC”) proposed amendments to the mutual fund liquidity-related disclosure requirements. Specifically,…