What is the Compliance Forum?Dalbar’s Compliance Forum brings together decision makers within financial services compliance who are leaders in setting strategy for developing and maintaining compliance standards.
The Forum meets twice per year and marries Dalbar’s most up to date industry expertise with a peer discussion on issues that are of the greatest importance to members. The mission of the Compliance Forum is to lower business risk and the cost of compliance review and monitoring through industry wide standardization, collaboration and tools.
Compliance Forum Objectives
- Discover practices that have been successfully used to address the most pressing issues.
- Determine what concerns face others and develop consensus on how best to address them.
- Identify and prepare for challenges that are forthcoming as a result of new legislation, regulation and/or litigation.
- Review and refine proposed Compliance Support services.
- Develop protocols for future forum meetings
Compliance Forum Agenda
- Identify best practices
- Respond to new developments
- Find solutions to problems
- Stay ahead of upcoming concerns
- Monitor and analyze regulatory and legislative issues
- Exchange participants' own experiences and observations
- Establishing and maintaining uniform practices and educational content
What is the Cost of participation? Forum participation is open to subscribers to Compliance Support Services.
Firms pay an annual participation fee of $4,500 to be a part of the Compliance Support Services.