Compliance and Communication for Institutional Sales: Issues and Business Opportunities

Institutional brokers must adapt to the new reality of fiduciary and compliance responsibilities to grow their commission revenues. Successful investment firms should establish Trade Management Oversight Committees (TMOCs), utilize existing resources and explore new technologies to track and link client activities, and effectively deliver information to the client while adhering to privacy and email requirements. This holistic approach will enable firms to effectively and efficiently integrate and leverage information to deliver maximum value.

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