Category: Best of the Web

What Broker-Dealers Need to Know About the Changing Role of Compliance Officers, The Street

Two major trends are reshaping the role of capital markets compliance officers. Make sure your company understands them.

Apr 16, 2016, By Nick Fera, The Street

From emerging technology to increased regulations to an unprecedented focus on company culture, there are major changes underway in the capital markets. These developments highlight the need for better compliance and for compliance officers who are up to the task…


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