Subserveo Whitepaper Series

March 2011: Suitability

In Subserveo’s latest whitepaper, “Suitability: Know Your Customer and Know Your Product”, Martin Orbach discusses recently enacted federal legislation, including Dodd-Frank Wall Street Reform and Consumer Protection Act, and the subsequent impact on FINRA-registered Broker-Dealers and Compliance teams. Orbach explains how the already daunting task of managing Know Your Customer reviews by Branch Managers and firm representatives will soon be compounded by the proposed FINRA rules 2111 (Suitability) and 2090 (Know Your Customer), and how to best prepare for this impending challenge. Recent advances in technology and automation are outlined, as are the most effective approaches in complementing current Compliance capabilities with surveillance tools.

Complete the form below to download your free copy of “Suitability: Know Your Customer and Know Your Product” by Martin Orbach.

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