Anticipating - And Meeting - Regulatory Compliance Challenges in the Financial Markets Industry

Topics:
Insurance,
Investment and Capital Markets
Tags:
Compliance,
Regulatory Compliance,
Management,
Industry Regulator,
Industry,
Financial Market,
Financial Accounting,
Financial,
Finance,
Strategy
Source:
IBM

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Overview: Industry regulators are looking for financial markets firms to implement functional monitoring and management methods that both reduce investor risk and prevent regulatory violations. Regulatory agencies continue to enforce new and existing industry rules, expecting firms to proactively thwart corporate misconduct. In this context, the paper advises that financial markets firms must identify high-risk behavior and potential compliance failures before they happen.

(Is this item miscategorized? Does it need more tags? Let us know.)

Format: PDF | Size: 141KB | Date: Nov 2004 | Pages: 12

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