NYSE unit looks to corner market for regulatory and compliance risk advice


Established at the end of 2004, the unit began operations in 2005 aiming to more proactively assess trends and risks in the securities industry. It seeks to work actively with member organisations to promote best practices in response to new products and changes in industry operations.

To be proactive in its methodology, the unit consults industry experts as well as member firms in an effort to study industry trends and various programme areas that may foreshadow future compliance risks, and

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