Market swings don’t just impact portfolios — they put your compliance program to the test. Discover the key areas your firm should focus on to mitigate risk during periods of uncertainty.
What’s Inside: In this guide, Managing Compliance During Times of Market Volatility, we break down the critical compliance challenges firms face when markets turn turbulent — and how to stay a step ahead. Learn strategies for:
✔️ Strengthening your Code of Ethics and Employee Trade Monitoring
✔️ Reducing MNPI and insider trading risk
✔️ Tightening electronic communications oversight
✔️ Maintaining suitability and Reg BI compliance
✔️ Protecting your firm with smarter marketing and advertising reviews