In a recent interview with Yahoo Finance, United States Securities and Exchange Commission Chair Gary Gensler said that he has one goal for crypto regulation in 2023 – “making crypto exchanges and lending platforms come into compliance.”
Each year, the SEC sets out a number of key priorities for their regulated entities.
A recent survey by Coresight Research estimate that the corporate gift giving market in the U.S will reach $258 billion in 2022. That's a lot of potential gifts sent to employees, customers and vendors - and a lot of potential opportunity for conduct risk.
Compliance attestations provide confirmation that employees have received current information and training on the compliance policies and procedures that apply to them, they have read and understood them, and they are conforming to the required standards in their work.
Does your firm manage employee credentials using a spreadsheet? Does your compliance team spend hours and hours in the fourth quarter of every year preparing for annual FINRA renewals? There's a better way that eliminates the compliance risk and time sink that goes hand-in-hand with manual processes and reduces the chance of error and regulatory censure.
