Regulatory complaints don’t serve as a timely fire detector due to limited resources as against the large universe of managers and strategies, believe experts at Swiss Analytics. In their report titled “Regulatory cases: Accident Analysis of Three Regulatory Complaints,” Swiss Analytics emphasizes that an investment advisor’s registration with a regulator is no substitute for proper, proactive due diligence. Regulatory complaints and inability to prevent damage The Swiss Analytics report points out that regulatory complaints can usually only serve as an inspection after the “house has already been burnt to the ground” rather than a timely detector. The report indicates thats regulatory complaints’…
Regulatory Complaints Are informative, But Often Too Late
Mani
Mani is a Senior Financial Consultant. He has worked in Senior Management role in large banking, financial and information technology organizations. He has provided solutions for major banking and securities firms across the globe in the area of retail, corporate and investment banking. He holds MBA (Finance) and Professional Management Accounting Qualifications. His hobbies are tracking global financial developments and watching sports