Insights for Broker-Dealers and Investment Advisers

The broker-dealer industry continues to experience costly challenges brought on by stricter regulation as well as emerging technologies.
Is your investment firm keeping up with updated exam priorities released by FINRA and the SEC? Kaufman Rossin's risk advisory group can help clients in this space through our industry expertise and various risk assessment capabilities, including cybersecurity risk - a big player in recent regulatory reviews.

Key Contact