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.
April 28 - May 1, 2019 Cayman Islands