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Avoid Regulatory Action with Broker-Dealer Compliance Software

In a landscape rife with legal obligations, few financial firms are as heavily regulated as broker-dealers.

From transaction monitoring and conflict management to complex customer protection rules, the resources needed to maintain compliance are significant—but not as high as the costs of being found non-compliant.

In this article, we’ll look at the regulatory landscape for broker-dealers and what firms can do to stay on top.

 

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Survey Says Nearly Half of Brokers Aren't Aware of SMCR

According to a new survey by the British Insurance firm Ecclesiastical, nearly half of brokers aren’t even aware of the impending Senior Management and Certification Regime (SMCR), which takes effect on December 9, 2019. This is despite the fact that the SMCR has been extended to all insurance intermediaries and solo-regulated firms. 

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