Category: Articles & Publications

MONEY MANAGEMENT EXECUTIVE: Conducting a Stronger Compliance Review

November 6, 2017, By Joseph M. DiBartolo, Director, Alaric Compliance Services

As the year heads toward a close, chief compliance officers at many regulated financial firms are preparing to conduct their annual assessments.

Annual reviews are one of a CCO’s more daunting requirements, as they take considerable time, talent and other resources to complete.

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