Tag: Chief Compliance Officer
Compliance sprawl: firms juggle nearly 14 systems, MCO finds
Financial services firms are pouring more money into compliance, yet new research from MCO (MyComplianceOffice) suggests that much of this investment is being absorbed...
Why RIAs are turning to outsourced compliance chiefs
ACA's outsourced chief compliance officer (OCCO) service is being positioned as a way for registered investment advisers (RIAs) to close compliance gaps before they...
Nearly a fifth of asset managers yet to use AI, with...
Key views on Adoption of AI and Gen AI in asset management: Acuity Analytics surveyed 80 senior asset management representatives across the Americas, Europe...
Building a future-proof compliance framework in the financial sector
A robust compliance program is fundamental for any firm in the financial sector, serving as the mainstay of its operational integrity. At the heart of a successful compliance strategy lies a profound comprehension of the firm’s business model and the foresight to adapt to any potential shifts in business practices.
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