Case Study

Worldwide Investment Bank

The Challenge

Worldwide Investment Bank Case StudyMany financial institutions are daunted by compliance requirements and the need to properly handle broker communications. This large, global financial institution (the Client), ranking in the top 10 of investment banks and providing customers with investment banking, private banking, and asset management services, was faced with this challenge. The Client was looking for a solution to specifically address its compliance requirements pertaining to those mandated by the Security and Exchange Act of 1934 (specifically its record-keeping requirements of Section 17(a)).

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