Outsourcing Solutions for Compliance Professionals

Oct. 2011

 

As a result of the Dodd-Frank Act as well as additional regulatory requirements implemented by
the SEC, FINRA, MSRB and states, more and more financial services firms are finding it
necessary to allocate extensive time and resources to compliance and risk management. For
firms with limited resources, increased use of technology applications and outsourcing may serve
as viable solutions.

 

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