Financial services compliance: 9 Top Tips for 2019
As some will know I typically issue some compliance “tips” annually, and I once again lay these out below. As with the previous years, they are in no particular order of importance and I remind you that my tips come with no implied warranties and following them will not absolve you, or make you immune from client complaints and/or regulatory sanctions; however, I can say that by taking my tips to heart and acting thereupon, you should reduce the compliance risk in your business, so here goes.