- 3:00 PM
Today’s compliance professionals are facing an era of dynamic and rapid regulatory change. The Dodd-Frank Act and other initiatives have changed securities regulation in fundamental ways. More demanding regulatory inspections and tougher SEC enforcement activity are also demanding increased compliance resources. Now, more than ever, the periodic identification and assessment of both compliance and operations risk is fundamental to the compliance discipline and essential for an investment adviser to understand its mitigation needs and resource allocation requirements. Accordingly, compliance officers must increasingly place a premium on risk intelligence skills, and seek to cultivate this aptitude within the organization.