THE PRACTICAL COMPLIANCE OFFICER: TECHNICALITY VERSUS COMMERCIALITY

Abstract

The purpose of this paper is to stimulate the thought processes of staff employed within compliance functions, and to act as a reminder that the technicalities of operating within the complex financial services area can be balanced with the commercial demands of their respective companies. The author considers the various issues that can be encountered and the means by which to attempt to strike an acceptable compromise.

Citation

MCMURRAY, G. (1995), "THE PRACTICAL COMPLIANCE OFFICER: TECHNICALITY VERSUS COMMERCIALITY", Journal of Financial Regulation and Compliance, Vol. 3 No. 2, pp. 141-146. https://doi.org/10.1108/eb024837