The Securities Industry/Regulatory Council recently published its Firm Element Advisory(FEA). The purpose is to highlightcurrent regulatory and sales practice issues for possible inclusion in compliance and training programs at financial services firms. Let’s take a look at the more important categories.
I am so blessed to have you and your dynamic team defending me. Your ethics, forward thinking and strategies are amazing. You guys are the best group of attorneys in the country that I could hire to handle this complicated case.