Managing Compliance During Times of Market Volatility

Market swings don’t just impact portfolios — they put your compliance program to the test. Discover the key areas your firm should focus on to mitigate risk during periods of uncertainty. 

What’s Inside: 
In this guide, Managing Compliance During Times of Market Volatility, we break down the critical compliance challenges firms face when markets turn turbulent — and how to stay a step ahead. Learn strategies for: 

✔️ Strengthening your Code of Ethics and Employee Trade Monitoring 
✔️ Reducing MNPI and insider trading risk 
✔️ Tightening electronic communications oversight 
✔️ Maintaining suitability and Reg BI compliance 
✔️ Protecting your firm with smarter marketing and advertising reviews