The Importance of Compliance in the Wealth Management Industry and Using Technology for Regulatory Requirements

In today's dynamic regulatory landscape, staying compliant is not just an option; financial firms must mitigate risks and safeguard their reputation. To shed light on this crucial topic, we invite you to join our recent podcast episode featuring Martin Orbach, VP, Head of Product for SS&C RCI, and Kyle Fleming, Senior Manager of Product Management for SS&C Black Diamond.

During this insightful conversation, Martin and Kyle delve into the intricacies of regulatory compliance, addressing key concerns for financial advisors, such as electronic communication surveillance, active versus passive compliance strategies, and the tools available to manage risk effectively.

Listen to the podcast now!