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Compliance in Asian Wealth Management Forum 2020 - Exclusive Insights - John Shoemaker - Butler Snow

John Shoemaker of Butler Snow

Jan 24, 2020

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1. Navigating International Compliance Waters for Financial Institutions and Families in 2020

Video transcript

1. Navigating International Compliance Waters for Financial Institutions and Families in 2020

Awareness versus expertise will be a key skill for any compliance officer, private banker, or wealth planner to develop in 2020. The old days of ignoring problems or problems not bubbling up are gone. You need to develop an awareness enough to spot and not be caught off guard when an issue comes up in a conversation with a client or with a regulator. But also don't get over your skis to feel like because you are aware of an issue, that makes you an expert. Know when to involve colleagues or external experts that can give you that very particular piece of advice that closes the deal or ensures and efficient compliance with the various standards that confront multi-jurisdictional organisations and families in this year.

 

 
 
 

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