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FINRA clarifies obligations and supervisory responsibilities for functions outsourced to third-party service providers

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 1 2011

The Financial Industry Regulatory Authority is requesting comment on a proposed new rule clarifying the scope of a member firm's obligations and supervisory responsibilities for functions or activities outsourced to a third-party service provider

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