Firms in the financial services industry are known for being subject to a growing number of regulations. Yet, a new survey of executives in financial services indicates that these companies are not necessarily giving regulatory compliance the sort of attention that it deserves.
Cipperman Compliance Services recently released a “C-suite Survey,” which concludes that although many firms say they put a premium on compliance, there’s a gap between the stated importance of a solid compliance program and the actual human and financial resources devoted to it. “They’re talking the talk and not walking the walk,” Todd Cipperman, founding principal of Cipperman Compliance Services, told CorpCounsel.com of these organizations.
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