Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
In recent years, financial regulators have made culture reform a priority but companies have struggled to implement metrics to measure compliance. This article examines differing opinions on what constitutes a culture of compliance and what regulators are focusing on. Managing Director Daniel Wager comments on FINRA’s approach to monitoring firm culture, as well as the broader regulatory focus on culture.