Since the passing of the Dodd-Frank Act, there continues to be constant change for financial
services firms as the SEC, FINRA, MSRB, CFTC and various other regulatory agencies continue to
promulgate more stringent regulations. As a result, firms are experiencing greater pressure than ever
before to heighten compliance oversight and risk management within their organizations. For some
firms, compliance can be challenging given limited time and resources. Integration of new
technology applications and outsourcing may serve as practical compliance solutions for greater
efficiencies to support the role of the compliance professional.
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