Using Technology to Transform Compliance

Financial institutions never faced as many challenges as during Covid-19. In order to face heightened risk and compliance challenges many firms had to recognize that innovative solutions are essential in all areas of the business.

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Compliance Considerations for SEC registered firms

The main compliance issues facing firms during COVID-19 includes the supervision of employees and business continuity amid uncertainty. The SEC Office of Compliance Inspections and Examinations (OCIE) released a risk alert on August 12 to share some observations with registered firms, investors, and the public generally.

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Regulatory Focus on Conduct and Culture

The global workforce has been under pressure since March, when the lockdown started in most countries. Since then, the stress and financial pressure caused by COVID-19 and the uncertainty to industries, organizations and employees has increased. Governments and regulators are under pressure to deliver normality while reducing the economic and market impact of the crisis.

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The Impact of Employee Misconduct

Over the last decade, many scandals in the financial services industry have shined a light on the importance of employee conduct and exposed misconduct as a major factor in these scandals. Since then, many financial institutions have being working to boost their risk and compliance efforts. 

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