Industry Perspectives

Albridge has extensive experience working with leading financial organizations supporting diverse business models.

Combining our perspectives on technology trends, compliance issues and practice management developments we have collaborated with industry experts to deliver thought leadership and industry studies to help you navigate critical business issues.

• Broker-Dealer Sales Practices Oversight 2012 Study Update

  By: David McClellan, Director, Technology, Albridge, an affiliate of Pershing, a BNY Mellon company
  6/25/2012 - An update to the popular "Broker-Dealer Sales Practices Oversight: Secrets of Their Success" whitepaper, this study compares the findings of the original whitepaper with results of new interviews and surveys conducted in first quarter 2012.

• Effective Sales Supervision and Compliance

  By: David McClellan, Director, Technology, Albridge, an affiliate of Pershing, a BNY Mellon company
  8/30/2012 - Broker-dealers face an increasingly challenging regulatory environment. Learn why Albridge Sales Practice Monitoring may be the best solution to address your firm's supervisory needs.

• Broker-Dealer Sales Practice Monitoring: Secrets of Their Success

  By: David McClellan, Director, Technology, Albridge, an affiliate of Pershing, a BNY Mellon company
  Chip Kispert, Beacon Strategies
  4/28/2011 - Learn how broker-dealers address sales practice oversight. To help firms prepare for these imminent changes in compliance oversight requirements, Albridge studied more than 70 broker_dealers' surveillance practices.