The function reports to the Board of Directors in 42% of cases or to the CEO (15.5%) and also enjoys greater budget autonomy (46.4%)
More than 75% of intermediaries believe the compliance function can play a driving role in innovation processes concerning the provision of investment services
These are the findings of an SDA Bocconi study, in collaboration with SIASSB and AICOM, on the evolution of the compliance function and compliance risk in investment services
84 domestic and international firms took part in the study, including banks, asset management companies, stock brokerage firms and, for the first time, also insurance companies
D.C.