Real stories, smart ideas, and practical takeaways from our work in compliance, risk, and regulatory change.

A US based global wealth manager wanted to implement a vendor solution to monitor and provide coverage for sales practice issues to meet its

A global broker-dealer sought support to streamline and strengthen its core compliance functions, which include firm-wide compliance and

Faced with escalating regulatory complexity and an outdated lexicon-based surveillance system, a major broker-dealer ...

A US wealth management division of a prominent financial institution aimed to broaden its services by introducing an actively managed