BasisCode Blog How To Create and Implement Compliance Policies and Procedures

Financial regulators are consistently updating guidance and laws to reflect the ever-changing reality of our modern financial system. Cybersecurity, robo-advising, and other technological advancements necessitate new rules and regulations. Whenever the SEC or FINRA issue new rules or risk alerts, it's incumbent upon CCOs to ensure their firms meet these updated expectations. The best way [...]The post How To Create and Implement Compliance Policies and Procedures appeared first on BasisCode.