Spending Priorities After a Fine in Capital Markets
As compliance leaders know, an effective surveillance strategy is in place to help mitigate reputational risk and regulatory rebuke. But if the the infraction occurs what happens next?
Opimas has researched and interviewed capital market institutions to report on post-infraction spending and behavior patterns. This report digs into the analysis so you can avoid the fines and recovery. Download the report to uncover:
- Why firms in financial services typically receive fines and what they typically cost
- Trends regarding the spending on IT and staffing before versus after an infraction
- How to avoid getting into trouble in the first place