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Core Compliance

@corecls

Core Compliance & Legal Services, Inc. ("Core Compliance") Providing the latest #compliance & #riskmanagement advice for the #financial industry

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linkhttp://bit.ly/2fZey1e calendar_today01-05-2013 22:11:42

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Core Compliance
@corecls

5 months ago

Investment advisers: Best execution = fiduciary duty. 📈 Are you covering all the bases? ✅ Pre- & post-trade reviews ✅ Custodian vs broker-dealer considerations ✅ Documentation & disclosures Learn more: hubs.li/Q03hZJB00 #RIA #BestExecution #Compliance #SEC