Financial Compliance

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2011-12-08 by: James Bone Categories: Financial Compliance Preparing a Road Map for Risk Management Success amidst Economic and Regulatory Change

by CCI @ 2009-06-25 Featured Article, Financial Compliance, General Interest, Risk

(This article was contributed to Corporate Compliance Insights by Mr. James Bone, formerly the Chief Compliance Officer for Fidelity Investments. Mr. Bone can be contacted via email.)


During a time of financial crisis survival is typically the priority of the day for most organizations, as well it should be. However, examples of success stories have begun to emerge through all of the dire economic news. Some banks and other institutions are surviving quite well and even thriving in this tough economic environment. The question is what has prepared these firms to do more than just survive and how are they preparing for the coming changes in regulation that may impact the future of their organization?…

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