Industry Perspectives
Albridge has extensive experience working with leading financial organizations supporting diverse business models.
Combining our perspectives on technology trends, compliance issues and practice management developments we have collaborated with industry experts to deliver thought leadership and industry studies to help you navigate critical business issues.
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Broker-Dealer Sales Practice Monitoring: Secrets of Their Success
By: Patrick Yip, Director, Albridge
Chip Kispert, Beacon Strategies
4/28/2011 - Learn how broker-dealers address sales practice oversight. To help firms prepare for these imminent changes in compliance oversight requirements, Albridge studied more than 70 broker-dealers' surveillance practices.
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