Building a Case for Process Improvement & Compliance Technology Change

Software works best when the right processes are in place. Changing to a new technology platform can seem dauntingbut it doesn’t have to be. Knowing what to expect during a software transition helps to ensure a successful implementation.  

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Managing Conduct Risk and protecting against Market Abuse

Risks might be blindingly obvious once in front of you, but they do not often occur to people beforehand. That is why is so important to understand what conduct risk means, identify the risks and drivers to protect your businesses and ensure markets remain clean.

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Maintaining Market Integrity in Today’s Regulatory Environment

In the face of the COVID-19 pandemic, protecting vulnerable consumers is a regulatory priority. Recently, the SEC has emphasized the need for maintaining market integrity and following controls and procedures. In addition, recent SEC and FINRA actions have shown that enforcing conflicts of interest remains a priority and conduct risk-based inspections will continue to advance.

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Conflicts of Interest & the Changing Landscape of Risk

Addressing Conflict of Interests (COI) that can have an outsized impact on the overall efficacy of a firm’s compliance and ethics program should be a top priority. The danger of poor COI mitigation is not only the immediate impact from individual COIs but also a broader risk to the entire program.

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