Wells Fargo Fined & Deutsche Bank Shares Decline

Posted by Joe Boyhan on Oct 11, 2016 9:15:47 AM


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Topics: KYTP, Banking, Corruption

MCO and Shearman & Sterling Host Webinar on the new SEC rules and form ADV update

Posted by Joe Boyhan on Oct 11, 2016 7:47:56 AM


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Topics: registered investment advisor, SMA, form adv

US Supreme Court hears Salman Insider Trading Case

Posted by Bethany Sirven on Oct 7, 2016 4:22:55 PM


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8 things to do in Chicago next week while at SCCE Conference

Posted by Bethany Murtiff on Sep 20, 2016 7:18:23 AM


The 15th Annual Compliance & Ethics Institute will be hosted at the Sheraton Chicago, September 25-28. While the conference promises to be an interesting and beneficial event, we at MyComplianceOffice have compiled a list of 8 must do things during your time in the Windy City.

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Topics: SEC, SCCE

MCO and Milne Legal Host Webinar for European Investment Advisory Firms

Posted by Bethany Sirven on Sep 12, 2016 2:45:21 PM

If you are an investment advisory firm located outside the United States, providing advisory services to any number of U.S. persons, (or using U.S. jurisdictional means to conduct your business), you will not want to miss this webinar, co-presented by MyComplianceOffice and Milne Legal on September 13, 2016 at 10 am EST / 4 p.m. CEST. 

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Topics: SEC, registered investment advisor, Advisers Act of 1940

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