Carrying Broker: What It Is, How It Works, Benefits
5 mn read Content Identifying Potential Clearing Firms Regulatory Compliance for Introducing Brokers Streamlined Operations and Client Management: Each applicant would be required to provide documents and descriptions pertaining to its (i) business organization, (ii) financial self clearing resources, (iii) compliance programs and (iv) technological capabilities. SEFs will also be subject to Core Principles similar to those applicable […]