Standards and qualities expected of compliance staff

Abstract

This paper sets out to examine, on an elemental basis, the key standards and qualities expected of compliance staff and the difficulties that breakdown in the compliance systems can cause. It is aimed at both seasoned campaigners and new starts alike. If it prompts thought it has achieved its goal.

Citation

McMurray, G. (1997), "Standards and qualities expected of compliance staff", Journal of Financial Regulation and Compliance, Vol. 5 No. 1, pp. 59-61. https://doi.org/10.1108/eb024905