In recent years, Compliance has become an essential aspect of the activities of all regulated entities, from banks and Investment Firms, to insurance companies, Forex brokerages, Law Firms and Administrative Service Providers. The job of ensuring that such organisations ‘play by the rules’ has steadily grown in importance, driven in particular by the huge wave of regulatory initiatives that followed the global financial crisis. All such firms now have a compliance officer and the larger ones may have an entire compliance department or division.
Evaluating Compliance
