NSCP Releases 2010 Census Survey

The National Society Of Compliance Professionals recently released the results of its 2010 census of compliance personnel for advisers, broker-dealers, and dual registrants. The biggest priority for compliance personnel in all categories? – the continuing development of compliance programs, policies and procedures, by an overwhelming 70-77 percent. Interestingly, adviser, broker-dealer, and dual registrant compliance priorities […]
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