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Description Tune in and listen to Barry Goodman and Stephen Strombelline as they discuss FINRA priorities for 2021 and what…
Description The SEC issued a release extending the annual reporting filing deadline for certain smaller broker-dealers by 30 calendar days.…
WEBCAST April 27, 2020 | 11 AM ET Charles V. Abraham | Partner, Financial Services Practice Leader, Mazars USA Ranjit Jaswal…
Description This episode of COVID Talks is a focused spotlight on regulatory responses in the financial sector as it relates to the current pandemic. Alisha and Tashonda hand off the…
HOSTED EVENT | Broker Dealer September 17, 2019 New York, NY Description Mazars USA is hosting a broker dealer forum on September…
It’s that time of the year again where most broker dealers, FINOPs, and auditors are hectically working to comply with…
Could you please start by letting us know about yourself ? I’m the CEO for the Americas at SCOR Global…
Another Annual Inspection Report It’s late summer, which means the PCAOB Annual Report on the Interim Inspection Program Related to…
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