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Compliance Checklist - Structuring a Broker-Dealer Review Program
Broker-Dealer Regulation (Second Edition)
Book Publication Date:
Checklist written by Sutherland Asbill & Brennan LLP attorney Clifford E. Kirsch; guidance on how to structure a broker-dealer review program This Compliance Checklist is adapted from "Conducting an Annual Review," written by Mari-Anne Pisarri of Pickard and Djinis LLP.
"Conducting an Annual Review" appears in chapter 21 of Investment Adviser Regulation (PLI 2005).
PLI Item #:
Corporate & Securities
"Compliance Checklist - Structuring a Broker-Dealer Review Program"
broker-dealer compliance programs
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