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What's Compliance Costing You?


Why Financial Services Organizations Need Modern Supervision:

  • Average global corporation faces 30,000 legal and regulatory recordkeeping requirements
  • Supervision is the top operational risk
  • Top 10 Banks spend over $50M/yr on Supervision technology
  • Financial services firms face regulatory audits every six months in order to prove they supervise their broker/dealers
  • $15M fined to leading financial services organization for “failing to adequately supervise communications”
  • FINRA penalties have reached around $100 million in consecutive years
  • Reviewers spend too much time searching for violations

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Published:  Jul 15, 2019
Length:  2
Type:  White Paper