These resumes below are confidential documents. RND charges a placement fee for the placement of professionals. These fees are paid upon a successful negotiated employment arrangement and are due upon invoice. The fees are negotiable. Please review and contact RND for further details.
- Rebalance Cybersecurity Initiatives for 2018October 20, 2017 - 7:12 pm
- Collective Investment TrustsSeptember 14, 2017 - 9:59 pm
- Form ADV Amendments due October 2017August 7, 2017 - 10:43 pm
- How FINRA compliance consultants ease enforcement action outcomeJuly 17, 2017 - 11:43 pm
- FINRA Report January 2017: Distributed Ledger Technology for the Securities IndustryMay 17, 2017 - 6:47 pm
Disclaimer: RND Resources Inc., affiliates, and staff, are not associated with the financial industry regulatory authority (FINRA). Nothing contained herein is intended to describe any such association.
algorithmic trading arbitration bitcoin blockchain Broker Dealer broker dealers compliance compliance consulting compliance management cyber-security Cybersecurity cyber threat department of labor disciplinary action dol fiduciary rule due diligence enforcement action exam priorities financial industry finop FINOPS finra finra regulations Fintech free webinar Hedge Fund independent consultant no action letter outsource compliance pcaob policies and procedures priorities letter regulatory regulatory compliance support remediation ria risk assessment risks SEC sec exam SEC rule change senior investors senior suitability suitability U4 disclosure