Study: Compliance officers in finance face ‘unnecessary risks’ (Compliance Week)

Compliance Week, February 4, 2020

Study: Compliance officers in finance face ‘unnecessary risks’

Compliance officers in the financial services industry face “unnecessary risks” that undermine effectiveness and regulatory goals, according to a new report by the Compliance Committee of the New York City Bar Association, which explored ways in which the compliance community and regulatory agencies can better achieve their shared goals.

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