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Gregg Breitbart featured in Compliance Week, “Financial Regulation Blitz Spawns the Regulatory Liaison Officer”

Posted Oct 8, 2013

Gregg Breitbart, Managing Partner of Kaufman Dolowich & Voluck’s Florida office, is featured on the front page of today’s Compliance Week and heavily quoted throughout the article by Joe Mont on the development of the regulatory liaison officer in the financial services industry.

Financial Regulation Blitz Spawns the Regulatory Liaison Officer
Compliance Week
Joe Mont October 08, 2013

Just as the Sarbanes-Oxley Act ushered in the era of the chief compliance officer, the rapid pace of new regulations hitting the financial services industry is spawning a new executive position—the regulatory liaison officer.

For now, the new position is emerging mostly at the nation’s largest financial institutions, but some say the specialized function may soon crop up at smaller firms or in other highly regulated industries, such as healthcare or defense.

In the current regulatory environment, banking and securities firms have recognized the need for more strategic management of their regulatory relationships, explains Peter Reynolds, director of governance, regulatory, and …

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