The Broker Club Forum
The challenges of an increasingly complex regulatory compliance burden - how is it impacting your firm?
Financial compliance is the regulation and enforcement of financial service/capital markets sectors regulation. As market participants' compliance obligation continues to increase in line with the pace of regulatory change, so too must the resources - and associated costs - required to keep on top of the compliance challenge. With new Operational Resilience requirements just the latest in a long list of compliance obligations, what do you see as the biggest challenges to smaller broking firms?