The importance of an effective compliance program, especially in the financial services sector, cannot be overstated. With trillions of dollars at stake, ensuring investment professionals are communicating and trading compliantly should be high on the agenda for every financial services organization. 

Failure to implement a robust and sophisticated compliance program that can quickly and accurately identify regulatory risk can potentially end a company, or at the very least, prove costly.

The repercussions of compliance breaches do not end there. In fact, financial penalties are often just the beginning, with negative press coverage, irreparable brand damage, and executive dismissals often resulting in a longer-lasting impact to business continuity than the initial fine.