The SIPA

The Blog Of The Securities Industry Professional Association
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Archive for the ‘Karen Fischer’

The Changing Role Of The Finop

By Karen Fischer In the current regulatory environment your financial record keeping is now a full time job. 10 years ago all that was really required to be a firm’s FINOP was some accounting experience and a series 27.  But that was then, and this is now. The events of 9-11 and the resulting AML [...]