As fund fees shrink, investment providers are looking for ways to meet reporting requirements in a more cost-effective manner. That makes this an ideal time for compliance teams to rethink old ways of working.
If last year is a sign of what is to come, expect regulators to continue holding individuals accountable for corporate misconduct. Protect your company by making it easier for employees to flag issues early.
Global capital market securities regulators met at the 41st Annual Conference of the International Organization of Securities Commissions (IOSCO) in Lima, Peru. Here are five key takeaways from the conference.