Regulatory compliance affects many financial service organizations. Knowing what, when, and how to adhere to these regulations can be challenging, and with threatening penalizations if neglected.
To ensure compliance is achieved, all communications – including those from the trading floor and in the back office – must be fully recorded, securely stored, and made quickly available for replay if needed for trade reconstruction or audit fulfillment.
Wilmac offers a wide range of solutions and services that can help your organization adhere to internal and regulatory compliance requirements and mitigate risk.
Tags: Compliance Dodd-Frank Act Financial Compliance Total Cost of Ownership