Five Steps to Regulatory Compliance

Written By James Nicholls

THE FINANCIAL SERVICES INDUSTRY IS RAPIDLY EVOLVING - COVID-19 HAS ACCELERATED THE TREND TOWARDS DIGITAL BANKING, THE ELECTRONIFICATION OF CAPITAL MARKETS CONTINUES APACE AND NEW ASSET CLASSES SUCH AS CRYPTO ARE STARTING TO BREAK INTO THE RETAIL MAINSTREAM.

AMID ALL THIS DEVELOPMENT, SUPERVISORS LOOK TO COMPLIANCE TEAMS TO ENSURE THAT FIRMS’ REGULATORY OBLIGATIONS CONTINUE TO BE MET. THE GOOD NEWS IS THAT THE FOUNDATIONS OF EFFECTIVE COMPLIANCE REMAIN THE SAME.

In this infographic, we set out the five steps to regulatory compliance, along with key considerations for Compliance leaders.

James Nicholls

Managing Director at Braithwate - specialist advisors in financial services. We help our clients develop effective strategies, launch new business models, manage risk, comply with regulatory requirements and execute transformational change initiatives. Our expert consultants - based in New York, London and San Francisco - serve both the traditional financial services sector (banks, broker-dealers, insurance companies) as well as FinTech and RegTech firms.

https://www.braithwate.com
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