Building a Culture of Regulatory Compliance (Part 2)

As the regulator for the securities industry, establishing regulatory compliance requires continuous vigilance and resources. Simultaneously, as our regulatory demands grow, companies need to have the resources in place to build compliance practices into their everyday frameworks and workflows. Our article last week focused on incorporating compliance measures into an organisation’s corporate governance structure, internal policies and procedures, industry best practices and training. This is to ensure a proactive and consistent approach to achieving a system of transparent risk management. While regulators around the world are seeking to ensure that companies are putting policies and practices in place to effectively respond to and mitigate risk, a realistic approach must also take into account the benefits and challenges associated with regulatory compliance.


Building a Culture of Compliance – Part2

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