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.