The SEC is setting a new standard – and firms can no longer rely on disconnected tools, static policies, or after-the-fact reviews. Top firms are rethinking compliance from the ground up.
This quick read explores how modern firms are building compliance command centers that bring together employee oversight, risk assessments, personal trade monitoring, policy enforcement, and regulatory filings – all in one system.
What’s the game-changer?
Risk isn’t just something you document – it triggers policy updates, which drive attestations, workflows, and resolution across the entire compliance team.