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Firms Better "Get the Message" About IM Any firms that feel regulators should treat IM differently than e-mail had better think again.
Mutual Fund Maintenance The SEC has offered suggestions on how to tidy up the industry's mutual-fund mess.
From the Top Down: Getting Management on Board With Compliance Why all the focus on compliance? Simple: Management is charged with protecting their firms' reputations " which translates to customer relationships and shareholder value. Business is at stake, and compliance has taken center stage.