Dreaming of a Way to Improve Annuity Compliance?

Audience: Broker-Dealer

Created for chief compliance officers to share with their senior executives and annuity operations contacts regarding the compliance advantages of an electronic annuity order entry system.

Effective Sales Supervision and Compliance

Audience: Broker-Dealer

Broker-dealers face an increasingly challenging regulatory environment, especially as it relates to sales supervision. Yet, many firms do not have adequate supervisory technologies. As a result, they expose themselves to significant risk of regulatory action.

Elections and Economies: The Limits of Power in the Age of Deleveraging

Audience: Broker-Dealer, RIA, Prime Brokerage

Elections and Economies: The Limits of Power in the Age of Deleveraging, examines the potential impact upcoming global elections may have on markets and fiscal policy. Authored by senior economists at Roubini Global Economics, this independent study also explores the trend of deleveraging as a response to the current political and financial environment.

Compliance Corner

Audience: RIA

The Compliance Corner is your one-stop destination for most basic compliance and regulatory information.

A Guide to Technology Outsourcing for Hedge Funds

Audience: Prime Brokerage

For hedge funds, technology is undergoing a dramatic transformation—from basic infrastructure to a competitive differentiator. New tools are helping managers attract investors with stable, scalable processes even as they implement increasingly complex strategies.