CREATING AND CULTIVATING A CULTURE OF COMPLIANCE: DUAL REGISTRANT EDITION

How would you rank your firm’s culture of compliance? 

While your compliance team will lead initiatives, interpret any SEC or FINRA news and how it impacts dual registrants, and act as the source of truth for rules and regulations, it is critical that every member of your firm take an active role in achieving and maintaining compliance.   

And that’s where a strong culture of compliance comes into play.  

To help you create and cultivate a culture of compliance at your firm, we’ve aggregated best practices, insights, and helpful tips from thousands of our clients just like you.

Download our new checklist to see how your compliance peers are creating and cultivating a successful culture of compliance.