White paper: Globanet Designated Third Party (D3P) Guidelines

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In the last five years, FINRA, the primary self-regulatory organization for broker-dealers, has focused on prioritizing designated third-party compliance.

Trusted by the nation’s top bank holding companies, when called upon by a regulator, Globanet will provide evidence of the request to our client and arrange for either recorded virtual or on-premise access to assist in the production of the requested records.

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