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The New York -based proxy administrations and technology giant of 10,000-employees blames outsourcers for not abiding by its standards for health, safety; others wonder whether the SEC and FINRA created harmfully inflexible, letter-of-the-law rules in pandemic.
The Pittsburgh, Pa.-based automated compliance and risk management software company has awarded the AIF designation to over 11,000 advisors since 2003
Amit Zavery takes a Broadridge board seat as the New York firm--its shares skyrocketing in recent years--adds a wirehouse and makes wealth management a third pillar of growth
Once primarily a 'research' firm, now more of a 'data' firm, the Chicago-based firm was discordant selling 15(c) board consulting services and sell data into the same market, say experts
The hold by the Merrill Lynch and Morgan Stanley crowd over product manufacturers is fast slipping
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