Case Study #1

Wealth Firms and their Compliance departments continually confront a large and growing set of regulations. For 2025, what are your department’s priorities for principal areas of focus? Do you expect to spend more time on preventing violations or on monitoring after-the-fact for violations? Do you have technology product you use to monitor and track regulatory items? If so, is it home-grown or a third party? If you do not have a technology solution, what are the product characteristics you would need?