Regulators, charged with overseeing financial services firms’ attempt to protect investors and enforce regulatory compliance, have undertaken efforts to leverage the power of technology. The firm that waits until the regulators come knocking to update its technology will have waited too long.
Download this paper to learn:
- How the SEC, FINRA and CFTC are using data and technology tools
- Why financial services firms need to catch up to (and keep up with) Regulators