Tech It Up Finding Balance - Compliance in the Wealth Management Industry
Jan 31, 2024
Martin Orbach, VP, Head of Product for SS&C RCI, and Kyle Fleming, Senior Manager of Product Management for SS&C Black Diamond, discuss the intricacies of regulatory compliance in the wealth management industry. They delve into topics such as electronic communication surveillance, active versus passive compliance, and the use of technology for regulatory requirements.
Chapters
Transcript
Episode notes
1 2 3 4 5
Introduction
00:00 • 3min
The Importance of Compliance in Wealth Management
03:17 • 13min
The Importance of Compliance in the Wealth Management Industry and Using Technology for Regulatory Requirements
16:25 • 4min
Effective Compliance Strategies and the Use of Regulatory Technology
20:34 • 4min
The Role of Technology in Compliance in Wealth Management
24:48 • 9min