Podcast: Compliance challenges in financial services

By Joe Mont2016-03-14T12:30:00+00:00

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In the latest edition of the Compliance Week podcast, we discuss regulatory and compliance issues facing the financial services world with Todd Cipperman, founding principal of Cipperman Compliance Services, a consulting firm that provides outsourced compliance services for advisers, broker-dealers, and funds. Among the topics we discuss are individual liability, third party compliance reviews, and the continuing buzz around “culture.”

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Issues facing financial services
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“For tracking litigation, enforcement, and regulatory developments, Compliance Weekshould be your prime source.”

Podcast: Compliance challenges in financial services

Downloads

Issues facing financial services

Interested in writing for CW?

Compliance Week accepts outside contributions from corporate chief compliance officers and other senior-level GRC practitioners. To learn more, contact the CW Editor. googletag.cmd.push(function() { googletag.display('div-gpt-ad-B'); });

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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”

Compliance Week accepts outside contributions from corporate chief compliance officers and other senior-level GRC practitioners. To learn more, contact the CW Editor.