5 BUILDING BLOCKS FOR REGULATORY CHANGE MANAGEMENT

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5 BUILDING BLOCKS FOR REGULATORY CHANGE MANAGEMENT

  • Peter Dugas, Leah Robinson
  • Published: 12 December 2018
To facilitate new, effective regulation for innovative technologies in wealth management, regulators are requiring financial institutions to defend and clarify how they make decisions in compliance with federal securities and consumer protection laws. In the past, this has led to many financial institutions implementing one-off solutions to manage compliance with a specific law or regulation when introducing new technology in the delivery of financial services.

This paper discusses the regulatory change management components needs for institutions to establish a program for new technologies in wealth management.