- Caveat Compliance: Can Firms Rely on Advice Received from Compliance Consultants?
- April 10, 2017 | Authors: Brian L. Rubin; Rebekah R. Runyon
- Law Firms: Eversheds Sutherland (US) LLP - Washington Office; Eversheds Sutherland (US) LLP - Atlanta Office
Practical Compliance & Risk Management for the Securities IndustryFull article
In their article published in Practical Compliance & Risk Management for the Securities Industry, Eversheds Sutherland (US) attorneys Brian Rubin and Rebekah Runyon address the following questions:
- Does a reliance on consultant defense exist?
- What steps should firms consider taking after engaging a consultant?
- What does the future hold for BDs and IAs that want to retain compliance consultants?