Help yourself to expert thinking on compliance from Financial Tracking and other industry sources

Financial Tracking is pleased to offer you complimentary access to a library of white papers and resources for the chief compliance officer. You’ll find deep and original thinking on a wide range of issues that directly impact the CCO at all financial services industry participants including hedge funds, mutual funds, money managers, broker dealers, exchanges and execution venues, private equity and more.

Simply fill out the form at right for complete access to our ever-expanding library of white papers and industry resources including deep dives on topics such as:

Essential Compliance Resources and White Papers for Chief Compliance Officers

  • Insider trading
  • Best execution
  • Counterparty risk
  • Pay-to-play
  • Suitability
  • Business model review
  • Employee training
  • Information technology
  • The role of the Chief Compliance Officer
  • Performance variation
  • Prospect presentations
  • Vendor due diligence
  • Wrap programs
  • Personal securities transactions
  • Distributions of policies and procedures
  • Cost of compliance
  • And more!