Tread carefully when self-reporting
Self-reporting in areas such as the retention of e-mails “is more of an art than a science,” said the CEO of ING.
By Bruce Kelly
When broker-dealers come clean with regulators and “self-report” any mistakes, they better move carefully.
That was the consensus of broker-dealer executives in a panel discussion this morning at the annual meeting of the Atlanta-based Financial Services Institute in
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