An Interview with Brian Fahey | MyComplianceOffice

“We believe very strongly that to lower costs in your compliance management, and lower risks, you need an integrated system with the functions working together – particularly in conflict-of-interest compliance scenarios…”

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Supervision – Stormy seas on the horizon?

Dodd Frank, Volcker, MiFID, Sponsor rules, Market Abuse Directives….and the list goes on.  All very complicated and no doubt taking up a lot of your time.  But the one storm on the horizon that really should be keeping you up at night?  Yep, it`s that regulatory staple, Supervision. 

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August 24th 2011: Regulatory Compliance Management

With new regulations being inflicted upon firms regulatory compliance management systems are being changed to meet requirements. With the right approach and figuring out where efforts are being duplicated it doesn’t need to cost the earth.

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