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Retail Brokerage Compliance in the 21st Century: A Call to Duty

Published by: TowerGroup

Published: Jul. 1, 2003 - 12 Pages


Table of Contents


Vision


Drivers


Implications


Market


Taxonomy of Vendors and Their Solutions


Vendors


IT Spending on Compliance


Conclusion



Abstract

The financial services industry has been thrust into a regulatory reaction mode for the past 18 months. From the USA Patriot Act to books and records requirements, firms have sought to respond to the regulatory changes as quickly and cheaply as possible.

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