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Compliance

Mutual fund scandals, corporate malfeasance, deep market corrections and litigious clients have caused the financial services industry to undergo significant changes in the past number of years with respect to legislative and regulatory compliance.

Advisors and financial institutions are faced with an increasing number of compliance regulations, which now also carry stiffer penalties for non-compliance.

There are literally hundreds of compliance regulations that require greater understanding and frequent training, some examples include:

  • ERISA
  • Anti-Money Laundering
  • Branch Office Audits
  • Churning and Excessive Trading
  • Client Accounts, Orders and Disclosure Issues
  • Ethics
  • Fiduciary Responsibility
  • Mutual Fund Sales Practices
As such, some firms perform some or all of their compliance requirements themselves, or outsource all or part of their compliance administrative requirements to a Third Party Administrator (TPA).

So if you are seeking additional compliance training or outsourcing services, let VendorPedia help you with additional Compliance resources!

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