May 14, 2014

Article in Global Banking & Finance Review – 23 May 2014

Overburdened Compliance Staff in Need of Automated Relief

Pressure on Compliance teams has long been increasing and the FCA has been vocal recently about the fact that it is no longer looking at box ticking and controls. It is interested in ‘outputs’; in terms of how does a compliance activity translate into market or client behaviour and the quality of advice that wealth managers deliver.

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By Neil Herbert Articles Blog Share:
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