Compliance processes in the financial services industry are driven primarily by regulatory requirements, writes Corporate Compliance Insights Contributing Writer Carrie Pallardy in her article, “The Devil You Know.”
But, she asks, is the current deregulatory bent of the Trump administration working to the finserv sector’s benefit or detriment? Both, say industry experts and observers.
Disruption, even the disruption of business-friendly attitudes, is still disruption – and disruption, she writes, can be costly. But, says CM Law Partner and former regional trial counsel for the Securities and Exchange Commission (SEC) Mike Piazza, “if the industry could get one thing from this change, it would be that there is limited or no regulation by enforcement.”
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