Featuring Interviews with Chief Regulatory Officer John Gebauer and Chief Product Officer David Bliss, the 2024 Publication Analyzes Regulatory Priorities and Associated Impact, Providing Tactical Best Practices to Help Future-Proof Compliance Programs
NEW YORK, NY, May 29, 2024 – COMPLY, the global market leader of compliance software, consulting, and education resources for the financial services sector, published its 2024 U.S. CCO Playbook. The annual publication, which includes an analysis of findings from the SEC and FINRA, evaluates the implications of current regulatory rules and trends, providing a detailed guide for navigating continued regulatory complexities.
“This past year has proven to be another record-breaking year for enforcement, examinations, and rulemaking in the financial services sector,” said COMPLY Chief Executive Officer Michael Stanton. “Compliance programs are currently contending with one of the most active regulatory landscapes while at the same time navigating market ebbs and flows and global financial trends. The annual CCO Playbook provides compliance professionals with both a retrospective of the past year, including a detailed look at how to best avoid areas of noncompliance noted by regulatory bodies, as well as a predictive outlook for the coming months.”
Highlights of the 2024 CCO Playbook include:
- An analysis of SEC and FINRA enforcement actions, including a look at key enforcement themes from off-channel communications to cryptocurrency
- A review of SEC’s 2024 Examination Priorities and FINRA’s 2024 Regulatory Oversight Report
- Trending themes specifically within the financial services industry, highlighting the continued evolution as well as the potential impact of current initiatives
This edition of the playbook also features extensive interviews with COMPLY Chief Regulatory Officer, John Gebauer, and Chief Product Officer, David Bliss. With deep expertise in this market, their insights highlight the impact of the current regulatory landscape on advisory firms and their compliance programs, as well as best practices firms can employ to navigate evolving compliance requirements.
“Today, every firm, no matter the size, is facing increased scrutiny and regulatory pressure,” said COMPLY Chief Product Officer David Bliss. “As firms navigate the shifting dynamics of the financial landscape, they must balance two key strategic priorities: increasing innovation and risk mitigation. And with the continued introduction of new rules and regulations, that balance is only going to become more difficult. As such, compliance teams must think long-term, sourcing the right support, and investing in the resources to ensure risk is properly managed. This playbook aggregates and analyzes the trends, statistics, and findings likely to impact firms in the coming year, providing the tactics to help support firms in their ongoing compliance strategy in 2024 and beyond.”
The 2024 CCO Playbook is available for download.
About COMPLY
As a global market leader in regulatory compliance solutions, COMPLY combines the power of regulatory technology, services, and education to empower Chief Compliance Officers (CCOs) and compliance professionals to easily navigate the regulatory landscape. COMPLY enables firms to scale their growth while remaining vigilant in their compliance efforts by providing solutions designed to manage the burden of complex compliance tasks. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients, including investment management firms, private equity firms, hedge funds, broker-dealers, registered investment advisers, and other financial service sector participants.
COMPLY continually supports clients in their work to proactively address core compliance challenges – minimizing risk, addressing critical priorities, and meeting new demands as the industry evolves and the firm scales. Learn more at COMPLY.com.