How to simplify your firm’s employee compliance activities

Firms must stay aligned with regulations and protect against reputational risk by ensuring employees adhere to firm policies and comply with regulations. However, tracking employee compliance can be a burdensome, time-consuming, and often a highly manual process. Sam Bergen, Practice Group Lead – CRM Employee Compliance, demos how our employee compliance solution can help your firm feel confident that your employees are staying aligned with regulations and avoiding code-of-ethics violations.