Welcome to the 2024 edition of COMPLY’s CCO Playbook. This annual publication is designed to be your guide to today’s critical compliance challenges, and more importantly, how to solve for them. Having culled through the thousands of headlines, new stories, and press releases, this guide provides a detailed report on trends, insights, and happenings in the world of compliance.
Download this playbook for insights into:
- The evolving regulatory landscape, including an assessment of new rules, trends in the industry, and more
- What firms can learn from enforcement actions and exam priorities set out by the SEC and FINRA
- In-depth perspectives on the industry shared by Chief Regulatory Officer John Gebauer and Chief Product Officer David Bliss