CASE STUDY Sophisticated Supervision Tools Make the Difference Essex National Securities, LLC (ENSI) provides integrated web-based services to banks with the operational tools needed to run an in-house broker-dealer. “We contract with banks that don’t have their own broker-dealer and put BD operations in their branches, ” says Garth Howard, chief information officer at ENSI. “We take on responsibility for advisors, technology infrastructure

Join for free to read