Webinar: Documenting Effective Onboarding Due Diligence
Description: FINRA’s review of firms’ supervisory procedures, as well as insight into the ways that technology can enable firms to eliminate inefficiencies in the onboarding process.
Holiday Close Notification:
RegEd Customer Service will be available from 8:00 AM ET - 6:00 PM ET on Monday, December 23rd. RegEd’s offices will be closed on Tuesday, December 24th and Wednesday, December 25th in observance of Christmas. Normal business hours will resume at 8:00 AM ET on Thursday, December 26th. All systems will remain operational and available. |
Description: FINRA’s review of firms’ supervisory procedures, as well as insight into the ways that technology can enable firms to eliminate inefficiencies in the onboarding process.