RegEd conducted a survey to shed light on the compliance landscape among midsized broker-dealers within the U.S. financial services industry, which aimed to answer three pivotal questions:
Current State: What is the current state of compliance programs among midsized U.S. broker-dealers?
Challenges and Strategies: What challenges do firms face in their compliance programs, and what strategies have they adopted to overcome them?
The Role of Technology: How are firms utilizing technology to enhance and streamline their compliance programs?
By addressing these key areas, we sought to provide valuable insights into current trends and practices, serving as a benchmark for the industry and providing firms a resource to use in refining their own compliance strategies.
Download this white paper to learn more about our findings.
