10 Compliance Professionals Reveal their Insights on the Future of Regulations & Industry Challenges
Source important regulatory insights from leaders in the industry. Read about their expectations for the future of regulations, major struggles with CRM2, how OBSI’s new mandates will impact business practices, and what they believe are MAJOR requirements for everyone’s compliance checklist in 2016.
Take away insights on:
- Additional regulation for cyber-security & reporting of breaches.
- Global alignment between jurisdictions where practical implementation is challenging.
- Putting an end to one-size-fits-all regulation.
- Expanding the CRM2 application design past small retail investors.
- Collaboration for dealership between finance, IT, operations, executive & compliance.
- Requiring & building a robust risk identification, measurement and assessment process.
Features in-depth submission by Lynn Tsutsumi, Director Market Regulation, Alberta Securities Commission (ASC)
Make sure your compliance strategy is up-to-date & performing alongside industry leaders. Download the 2016 speaker e-Book now!