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Ep450: The compliance challenges firms need to tackle to avoid reputational damage
Published 3 years, 11 months ago
Description
Brian Fahey, Chief Executive Officer, MyComplianceOffice
Issues such as conflict of interest, code of conduct, employee compliance, third party risk and transaction surveillance all pose a significant risk to financial services firms. So, what needs to be done to ensure that banks and financial institutions can avoid reputational damage, job losses and potentially very public crises? Robin Amlôt of IBS Intelligence discusses compliance pitfalls and problems with Brian Fahey, CEO of RegTech firm MyComplianceOffice.