These folks often go through some version of the Kubler-Ross stages of grief, including denial (“The SEC must be confused!”), anger (“This is an abuse of power!”), bargaining (“With this one weird trick, we can convince the...more
Compliance is difficult, and litigation and enforcement risks are high for financial services companies. Navigating a Proustian rulebook, it’s impossible to get everything right all the time.
Legal and compliance work in...more