Webinar

With recent enforcement actions reflecting the Gensler administration’s priority on books and records, can your firm's  audit trail stand up to regulatory scrutiny?

Recent enforcement actions have made it clear that Chief Compliance Officers are at risk of personal exposure if regulatory violations happen under their watch­, posing a significant concern for CCO's. The National Society of Compliance Professionals (NSCP) reports that 72% of compliance professionals are concerned that regulators have expanded the role of compliance officers and the scope of their responsibilities in imposing personal liability.

Regulators worldwide have stepped up their oversight of crypto activities, and have sent strong indicators that tighter regulation and enforcement is coming.  What does this mean for Financial Services firms?

Smaller firms face unique compliance requirements when compared to the needs of their larger counterparts.  Add in the complexities of remote and hybrid work in the midst of a pandemic, and it's been another challenging year for Chief Compliance Officers.