How would you rank your firm’s culture of compliance?
While your compliance team will lead initiatives, interpret SEC and FINRA news related to yoru firm, and act as the source of truth for rules and regulations, it is critical that every member of your firm take an active role in achieving and maintaining compliance.
And that’s where a strong culture of compliance comes into play.
To help you create and cultivate a culture of compliance at your firm, we’ve aggregated best practices, insights, and helpful tips from thousands of our clients just like you. Download our new checklist to see how your compliance peers are creating and cultivating a successful culture of compliance.
Download the Broker-Dealer Edition