Insights From a Compliance Liaison
New regulatory rulings. Compliance issues. Complex products. Navigating changes in risk management has never been more challenging. At First Clearing, we have fostered a strong compliance and risk management environment that extends far beyond traditional technology-based tools.
Under our Chief Risk & Quality Officer, a team of Compliance Liaisons support your firm with the perspective of an industry leader in the area of advice on rules and regulations. First Clearing’s Compliance Liaisons leverage intelligence from industry–wide sources to help you adopt best practices that address today’s compliance requirements while anticipating future changes. We support you with open communication regarding pending and existing regulations, in–depth discussions during your regulatory examinations, and one–on–one insight from subject matter experts.
In addition, we offer compliance symposiums where industry professionals discuss regulatory developments, compliance roundtable meetings providing you with an opportunity to network with other compliance professionals, and Compliance Digest—a newsletter covering important compliance and regulatory matters. First Clearing also leverages the best technology to help you proactively protect your firm with compliance tools such as SuperVision, Blue Sky Reporting Package, Actimize and a Mutual Fund Breakpoint Calculator.
So why navigate the complexity of risk management on your own, when First Clearing can help provide the guidance and technology you need?
* The experience of this Compliance Roundtable attendee may not be representative of the experiences of other attendees and is no guarantee of future performance or success. 1011-5411A