6. Dodd-Frank Headache
Investment advisors must now ensure more than ever that they are constantly monitoring and evaluating their systems, particularly those that have undergone any modifications as this is typically where mistakes and omissions are made with these reporting specifications."
— Jonathan Saxton, member of Kinetic Partners, on rule Form PF
Greg MacSweeney is editorial director of InformationWeek Financial Services, whose brands include Wall Street & Technology, Bank Systems & Technology, Advanced Trading, and Insurance & Technology. View Full Bio