Getting Compliance Right in Financial Services


Regulatory agencies overseeing the conduct of financial services, particularly banking and insurance, have become very vigilant. Entrusted with ensuring that consumers have a truthful representation of financial products before buying them, they have immense oversight.

Handing out millions of dollars in fines and closing down lines of business, the regulators are driving managements to invest heavily in technology, people and processes to meet compliance. Corporate leaders and Boards are creating a culture where compliance is the top priority.

Our industry report looks at the challenges of compliance in a digitally accelerated marketplace, the technology and workflow tools for robust compliance processes and how managements can strike a balance between market competitiveness and meeting compliance.

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