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Compliance and Risk Management

Compliance and Risk Management ensures that financial advisory practices adhere to regulatory requirements, industry standards, and internal policies. This unit focuses on documentation, supervision, suitability of recommendations, and protecting the firm from regulatory and reputational risks.

This department is part of the Financial Advisory business area.

Products fall into the following categories:

• Regulatory Compliance Systems
• Transaction Surveillance Software
• Advisor Supervision Systems
• Audit Trail Systems
• Cybersecurity Infrastructure
• Data Backup and Recovery Systems