 “It is difficult to build a culture of compliance required by the current environment if your firm does not have a compliance committee."
Todd Cipperman, chief executive, Cipperman Compliance Services.
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Compliance at Financial Services Firms Falls Short
Michael S. Fischer | Think Advisor, August 2014
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Summary: Financial services firms give lip service to the importance of compliance, but the majority fails to devote adequate resources to the function, according to a new survey by Cipperman Compliance Services.The survey found that the compliance function in these firms tended to be underfunded and understaffed.
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