Case Study: Compliance - quality versus quantity

Global financial markets are highly regulated.

Participants can become burdened with a complex and changing environment. Management need to ensure that exhaustively penned documents written by subject matter experts don’t become a ‘check-box’ exercise. The dissemination of information needs to be readable and provide clarity.

Effective communication and distribution channels are crucial. Training and implementing procedures should be systematic and structured with continued monitoring for review to ensure adherence.

FMC independent experts will engage and solicit information when reviewing training, processes and procedures to ensure your firm complies with best practices.