Wealth Management Compliance Challenges in a Remote Work Environment

InvestorCom – Our new remote work environment has magnified common pain points for many compliance teams. While some have adjusted to the “new normal” and are implementing processes to maintain continuity, others may be overlooking compliance risks for a variety of reasons. Given the unique role of compliance, this paper looks at the key dimensions that require attention in the current environment. More specifically, it will cover remote compliance challenges faced by wealth management firms, how to meet Reg BI (and future compliance regulations) remotely, and balancing the compliance risks with the opportunities.

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