BIG’s Associate General Counsel published in NSCP's monthly journal
Sadeq Khan, BIG’s Associate General Counsel/Director of Compliance was featured as the lead article in the May 2015 issue of the National Society of Compliance Professionals’ monthly journal, NSCP Currents.
The NSCP is a nonprofit, membership organization dedicated to serving and supporting compliance officials in the financial services industry. The article provides an in depth overview of FINRA Rule 3110(e), and more specifically, the expansion of requirements for member firms to conduct background investigations on their applicants.
The full copy of the article can be found here.
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