Risk alerts published by the SEC’s OCIE (Office of Compliance Inspections and Examinations) help protect investors, improve industry practices, and […]
All posts tagged: pre-trade compliance
The Gift of Pre-Trade Risk and Compliance Monitoring Software
Risk and regulation compliance are critical concerns in the trading industry. Failure to give trade compliance the time and detail […]
Top Enhancements to Our Portfolio Rebalancing and Trading Technology
At BlazePortfolio, we are committed to serving financial advisors with the best rebalancing and trade order management system on the […]