By RegEd - Keeping a Grip on Employee Conduct and Conflicts of Interest – Celent Report

November 9, 2020

Among the greatest challenges faced by banks, broker-dealers and other financial services firms is the ability to readily identify potential risk among the firm's employee and registered population, before it causes reputational harm.

RegEd is pleased to share the following report, authored by Neil Katkov, PhD, Head of Risk and Compliance at Celent, which provides an overview  of the current landscape, as well as the best practices, processes, and technology that leading firms employ to optimize compliance and reduce risk. 

"To effectively manage employee conflict of interest programs, firms need to efficiently and accurately capture the actions and relationships of potentially thousands or even tens of thousands of employees. Yet many technology systems used by firms do not support the relevant functionality."

- Neil Katkov, PhD, Head of Risk and Compliance at Celent 

Download the report here