Tag Archives: Institutional Investors

Financial Recovery Technologies to Power GRAHM Capital Recovery Group
GRAHM Clients Gain Access to FRT’s Operational Expertise to Maximize Claims Recovery Efforts   BOSTON, MASS, (July 10, 2012) – Financial Recovery Technologies LLC (FRT), a leader in class action settlement recovery, today announced a partnership with GRAHM Capital Recovery Group, LLC (GRAHM) to provide recovery services to the GRAHM client base. FRT will provide the processing infrastructure and operational Continue Reading...
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Increased pressure placed on investment advisor compliance officers
Chief compliance officers (CCO) of broker-dealers and investment advisory firms have seen increased scrutiny in recent years. In the wake of the Dodd-Frank Act, government regulators have increased their oversight of investment firms. The Securities Exchange Commission (SEC) and the Financial Regulation Authority (FINRA) have begun holding CCOs personally liable for failure to comply with new regulations, resulting in disciplinary Continue Reading...
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