How Compliance Departments Can Prepare For Biden

By Al Barbarino (January 28, 2021, 6:07 PM EST) -- Compliance departments will need to "step it up" amid a more aggressive financial regulatory agenda under Joe Biden, requiring a wholesale review of policies and procedures that considers the new president's socially geared priorities and a renewed emphasis on protections for everyday investors, industry experts say.

Biden has stated his intentions to foster a regulatory regime that will "promote the public interest," which could bring new rules and guidance on climate-related investments and social equality, experts said.

Meanwhile, Gary Gensler, Biden's nominee to head up the U.S. Securities and Exchange Commission, is expected to bring the same "no-nonsense" approach he brought...

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