Automating the Compliance and Supervision Process.

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  • Additional Information
    • Subject Terms:
      UNITED States
    • Abstract:
      Discusses the role of automated compliance and supervision tools for financial services firms to monitor brokers' behavior and the quality of supervision at various business and branch levels in the U.S. Trends toward automating the compliance process; Firms using automated compliance and supervision tools. INSET: MOVING FORWARD.