Tue, Feb 9, 2016

Daniel Wager Quoted in The Wall Street Journal

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.

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