Broadridge Financial Solutions is bolstering its regulatory compliance services for broker-dealers via an acquisition of the cloud-based Execution Compliance and Surveillance Service (ECS) assets of Wall Street consultancy Jordan & Jordan (J&J), officials say. J&J officials describe their ECS offering as a managed service that includes “comprehensive reviews to assess compliance with various aspects of… Read More >>
A Gathering Storm at Tax Time
The current tax season is the first time that cost basis reporting (CBR) has become a new reality for trading firms and investors. The issue will hit home as 1099 tax forms arrive and investors start to drill down on the details. While firms may want to duck disgruntled investors, they cannot ignore a gathering… Read More >>
