Automating the compliance process
With revenues falling and budgets tightening, most US securities firms are in no position to spend lavishly on improving compliance functions. David Tilkin of Protégent asks what can be done to better protect the interests of investors and the integrity of the industry
When a crime is committed, forensic specialists are called in to examine the scene and to determine how it happened, who was responsible and how it could have been prevented. While this is a necessary process, it can provide only
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