Firms in the financial services sector are a heavily regulated bunch, whether it’s through federal agencies such as the U.S. Securities and Exchange Commission or such self-regulatory organizations as the Financial Industry Regulatory Authority. All of the rules and examinations can be a lot to handle, and even individual in-house counsel and compliance officers may land in the regulators’ crosshairs.
A recent webinar from Compliance Science and the National Society of Compliance Professionals, “Mitigate Your Liability by Leveraging Automation in Your Compliance Program,” outlined some of the dangers for compliance officers dealing with regulators in this sector, and explained how technology can help make compliance processes more painless.
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