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How to manage stockbroker compliance cost effectively

stock broker complianceWhilst the Royal Commission into the Misconduct in Banking, Superannuation and Financial Services Industry may have concluded, the implications of the hearing and new compliance requirements will continue to affect the industry for years, if not decades. The question from many is now how to manage stockbroker compliance cost effectively. That is, how can a stockbroker ensure compliance and still ensure a profit?

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Restoring confidence through compliance

stock broker complianceWith the royal commission turning the spotlight on compliance in the financial services sector, regulators are starting to ask the hard questions when it comes to the technologies that firms have in place to ensure they’re doing things by the book. The fallout from the royal commission into misconduct in the banking, superannuation and financial services industries is forcing firms to reevaluate their approach to compliance, says Craig Mason, executive chairman of Australian software provider Complii Fintech Solutions.

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