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Webcast

Compliance on a Budget:

Cutting costs, not corners

Have you been asked to decrease spending and reduce headcount?

Despite warnings from the SEC and others that compliance should not be compromised, today’s troubled economy presents compliance teams with the challenge of balancing ongoing compliance needs with budgetary cutbacks.

Decreased budgets can lead to increased risk exposure, especially when cutbacks are the result of hasty thinking. And, although times are tough, regulators stand firm in their resolve that firms have adequate policies, procedures, and controls in place to ensure they can satisfactorily meet regulatory requirements.

Compliance on a budget is possible. Join us for a complimentary webcast with industry experts including Lisa Roth, Chief Executive Officer of Keystone Capital Corporation, as they discuss the best ways for firms to identify supervisory efficiencies without cutting corners and compromising compliance.

Webcast attendees will learn about:

  • Areas of high regulatory focus given the current economy
  • Methods for prioritizing risk, securing primary supervisory controls, and maintaining order despite strain on budget and personnel
  • Resources available that firms can employ to successfully meet compliance obligations in a cost-conscious environment

All attendees of this webcast will receive complimentary access to Complinet’s Securities and Banking News and Rules service for two weeks.