RegEd is pleased to provide you with a copy of “Keeping a Grip on Employee Conduct and Conflicts of Interest,” a report from research and consulting company Celent.
Among the greatest challenges faced by banks, broker-dealers and other financial services firms is the ability to readily identify potential risk among the firm’s employee and registered population, before it causes reputational harm.
This report, authored by Neil Katkov, PhD, Head of Risk and Compliance at Celent, provides an overview of the current landscape, as well as the best practices, processes and technology that leading firms employ to optimize compliance and reduce risk.
Download this report to learn more.
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Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.