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Infrastructure Compliance

  • Bank of America Merrill Lynch - Auditorium 100 Newgate Street London, England, EC4M United Kingdom (map)

Laws and regulations apply to almost all aspects of our firms’ business - yet Compliance tends to be mainly aligned to Front Office organisation structures.

This panel discussion looks at Compliance coverage for non-Front Office functions (e.g. Operations, IT, HR) which often have regulatory requirements impacting them.   It will explore some of the risks and issues and how Compliance can cover these complex areas.