Our pre-packaged trade management solution will help investment managers and broker-dealers to centralize business operations, reduce costs and manage exceptions.
Quotes about broker-dealers (2 Quotes)
Regulations require broker-dealers to create and preserve a comprehensive record of each securities transaction they effect and of their securities business in general. These requirements are integral to the investor protection function because the preserved records are the primary means of monitoring compliance with applicable securities laws, including anti-fraud provisions and financial responsibility standards.