Sarah Hughes

Proskauer Rose LLP

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Broker-Dealer Beat - August 2019

Remote Non-Branch Office Inspections: Facilitating Home Office Arrangements - Introduction - Financial services firms, like other businesses, must address employees' requests for more flexible work arrangements, including...more

8/7/2019  /  Broker-Dealer , Code of Conduct , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Inspections , Investment Management , Policies and Procedures , Remote Working , Securities Exchange Act , Supervision
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