New report finds that 59% of survey participants said that technology has helped them meet regulatory obligations
Preparing for an interview with compliance, a regulator or client’s counsel is key because your licence, reputation and livelihood are all at stake
The SEC and FINRA will hold their national compliance outreach program on July 27
Compliance professionals must improve their training of approved persons on outside business activities to reduce risks for firms and their advisors
Global compliance executives say their firms will have to spend more to deal with risks associated with fraud and financial crime, cyberattacks and everyday business
Never go into a meeting cold when being interviewed for any compliance infraction
A monthly update on recent regulatory events and upcoming deadlines
This year’s compliance exams will focus on suitability and KYC issues as well as the new cost and performance reporting requirements under CRM2
Whether the task is reports to investors, meeting client identity requirements or fulfulling obligations to seniors, technology can make compliance more manageable
Key challenge is in integrating platform into firms’ processes