Mitigate the Risk: Best Practices for Employee, Client and Third Party Due Diligence in the Financial Services Industry
Sterling Check
JULY 12, 2018
Many of the agencies that govern the financial services sector, such as Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC) and the Foreign Corrupt Practices Act (FCPA) , require stringent due diligence procedures. The Financial Services Sector is Highly Regulated.
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