Compliance Budgeting: Reducing Risk While Doing More with Less

Whether you are an emerging private fund, FinTech, or a large global investment bank/asset manager your regulatory and compliance burdens continue to increase, while the pressure to reduce headcount and limit costs also grows.

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Look Back to Move Forward: Practical Guidance for Compliance in 2021

Taking a look back can help you move forward. Now’s the time to take a step back and consider how new or elevated risks during the year have been addressed, how controls have been established, and how compliance initiatives undertaken at year-end can set the stage for a stronger compliance program in 2021.

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A Compliance Officer's Crystal Ball: Compliance Predictions for 2021

As a compliance officer, regulatory counsel, risk manager or auditor, what keeps you up at night? Where do you need to focus your time and energy to close out the year strong and position yourself for success in 2021?

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Pay-to-Play Compliance: The 2020 Election and Beyond

The months leading up to the 2020 U.S. Presidential election have seen unprecedented political donations on both sides of the aisle.

 Pay-to-play compliance is a concern for firms of all sizes. And it won’t go away after the election. Restrictions on gifts and entertainment and potential lobbyist registration requirements also remain areas of concern. Firms need to have policies and procedures in place to identify potential conflicts of interest—and avoid the fines and reputational damage that those conflicts can bring.

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The Road to a Successful Compliance Technology Purchase

Procuring an integrated conduct risk and compliance technology solution requires compliance officers to examine and manage several changes.

Firms are expected to maximize profits and reduce costs when choosing or changing vendors. A compliance technology solution can help firms to manage conduct risk, monitor conflicts of interest, comply with the fast-paced regulatory environment and reduce reputational risks. Besides, the benefits of saving costs and time if selecting the right solution.

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