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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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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Reg BI: Practical Steps to Take Right Now

As the June 30 deadline approaches, the SEC has yet to provide an extension to Regulation Best Interest as part of their response to the COVID-19 crisis. Firms must be ready to comply even as they deal with trying to conduct business as usual in a climate of flux and uncertainty.

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