Outsourcing to a Securities and Capital Markets Compliance Consultant is now recognized as a long-term competitive strategy for a broker-dealer’s success and has become a tried-and-tested model.Focus on Core Business Functions: Companies that outsource regulatory compliance to experts are in a position to focus more on their core competency.
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Are You Prepared for the Top Three Compliance Issues?:: No matter what an enterprise’s major market is, it is probably subject to regulatory compliance requirements, such as PCI, SOX, FISMA and HIPAA. PCI requirements in particular demand a high level of auditability and controls. What’s more, regulatory agencies are cracking down with stiff penaltie ..