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Jackie Hallihan

Executive Director, Compliance Services, Confluence

Recent Posts

HEADS UP: SEC Division of Examinations Identifies Gaps and Signals Need for Main Office Policies and Procedures to be Applied at Branch Office Locations

May 11, 2023

The SEC Division of Examinations issued a Risk Alert on April 26, 2023, regarding weaknesses observed at branch office locations of investment advisers and broker dealers. The Alert recommends firms consider...

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