Authored by Joe Gentile and John Pellegrino Companies in all industries spend considerable amounts of money annually to train their managers and employees on how to deal fairly and honestly with their customers and suppliers. To a great degree, the majority of these firms achieve most of their goals. Nevertheless, human nature being what it is, the [...]
Global Markets Advisory Group, GMAG, is literally about two years old but it has been more than 30 years in the making. Formed by friends and former colleagues, the group has a combined experience over 200 years across the various disciplines in the security markets industry. The group combines the unique talents of people who [...]
NEVER FORGET: New Jersey native and Global Markets Senior Advisor Robert Zito was an executive at the NYSE on 9/11.
As quoted in NJ magazine:: Robert Zito is the founder of Zito Partners in Warren. On 9/11, he was the executive vice president of the New York Stock Exchange and a member of its management committee, responsible for developing and building the NYSE brand globally. I had 9/11 penciled in on my 2001 calendar for [...]
Last week FINRA published its 2016 Regulatory and Examination Priorities Letter. As in past years, FINRA identified recurring issues as well as new areas that broker-dealers should focus on as part of their regulatory due diligence. This year’s letter is no exception, as examiners will assess supervision, risk management and controls in areas that include: [...]