Broker-Dealer Compliance & Outsourcing | Compliance Exchange Group
Compliance Exchange Group (CXG) is a premier Broker-Dealer consulting firm, focused on FINRA compliance, SEC regulation, and outsourcing licensures.
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The Financial Conduct Authority is the conduct regulator for around 50, 000 financial services firms and financial markets in the UK and the prudential supervisor for 48, 000 firms
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InvestmentNews is the trusted resource for financial advisors, providing investment news and analysis for financial advisors. Extensive coverage and expert comment on important topics in the financial advisory industry.
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Learn how the Financial Industry Regulatory Authority (FINRA) ensures a fair market with regulations, essential tools and resources for investors and pros.