Halliday goes the extra mile

New York-based Halliday Financial set up its structured products distribution business in October 2009, after consulting with one and all to ensure that its new business would not fall foul of the regulator. Sophia Morrell reports

Halliday Financial launched its structured products business in October 2009 after consulting every piece of regulatory advice it could find that was relevant to the investment class.
The rationale behind the firm’s exhaustive preparations was that if the regulators ever did take a look at its business, it wanted to be seen as a model for distribution rather than just doing the bare minimum to comply with the regulations. Halliday pulled together advice from the Financial Industry Regulatory

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