Friday May 29, 2020

Company Matters

Proper documentation and files are vital for any brokerage

5th December, 2009


I run a brokerage for a range of financial services. There is widespread speculation that the regulatory structure in my sector will change, with plans to set up a new consumer agency that will combine the consumer information functions of the Financial Regulator and the Financial Services Ombudsman. Will this affect me and how can I prepare?


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