exempt-market-dealer-compliance-univeris-book-of-record
compliance-sweep
EMD Compliance
crm2-compliance-mistake
EMD, exempt market dealers
CRM2
New Exempt Market System version
Regulatory, Audit, Compliance, EMD, Exempt Market Dealer
DRs, Dealing Representative, EMD, Exempt Market Dealer, Front-Office, Back-Office

Recruit and Retain the Best DRs

The role of superior back- and front-office technology An exempt-market dealer (EMD) is only as good as its dealing representatives (DRs). That means hiring the industry’s...