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At the SIFMA annual conference event last week, off-channel communication recordkeeping challenges and possible solutions proved to be a popular panel topic.
Sharp differences emerged during discussion on neutralizing conflicts of interest created by algorithms.
FINRA’s CEO discussed how the SEC’s flurry of rulemaking has affected his agency.
At SIFMA’s Annual Conference this week, regulators, industry practitioners and advisers gathered to discuss the state of compliance and the legal environment in 2024.