The C-Suite and Compliance

A snapshot of today’s top issues for financial firms and the impact of compliance investments

At the recent Securities Industry and Financial Markets Association’s (SIFMA) Compliance and Legal Society’s Annual Conference in San Diego, CA1, IPC® surveyed many of the event’s attendees for new insights on the compliance issues their firms are facing and the investments in compliance-related technologies they are making. This e-book provides a quick summary of the survey’s top findings.

More than 81% of our survey respondents hold C-level positions in their firms or organizations. This includes Chief Risk Officers, Chief Data Officers and Chief Legal Counsels as well as CEOs, COOs and CIOs. As a result, our survey gives an up-to-date look at C-suite perspectives on compliance issues and actions.