Learn How to Build a Successful Trade and Communication Compliance Program

January 21, 1:00 pm EST

Designed to be a guide for individuals responsible for their firm’s compliance program, this guide spotlights the pivotal issues related to trade and communications surveillance today. This research includes an assessment of the cost of violations to financial institutions, shares the problem zones that are top of mind for compliance teams, and grades the performance of financial services firms across six key elements of successful programs, including:
  1. Regional configurability
  2. Accurate alert generation
  3. Automation wherever possible
  4. Thorough and efficient investigations
  5. Capture coverage
  6. Technical agility

Download this Compliance Guide with findings that have been collated from Opimas’ discussions with over 200 financial institutions regarding their compliance programs and priorities over the past year.

On-Demand Webinar
Please also watch our on-demand webinar on the same topic:

Title:    Building a Successful Trade and Communication Compliance Program
Duration:    60 min.

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