Compliance: The Five Red Flags - How Technology can Mitigate Compliance Risks Across your Workflow

In today’s post-Madoff era, investment advisors are under increased pressure to prove that they are adhering to a growing range of directives, restrictions, policies and regulations. The challenge for Chief Compliance Officers is to understand the risks associated with each of these three drivers of compliance and how they can be mitigated. Packed with actionable information and expert guidance, this 12-page report will help you identify the red flags in your workflow—the points of inherent risk as recognized by the SEC itself—and will then outline the technology and functionality required to address them. It’s a must-read for Chief Compliance Officers and others with responsibility for compliance.