Supports compliance community’s premier event, May 22-24 in Washington, D.C.
It’s almost time to step away from the heroics of your day-to-day compliance duties and enjoy a well-deserved break this Mother’s Day. Let’s be honest, motherhood is much like compliance and we believe that moms really do make great compliance officers!
FINRA’s premier event, the national conference in Washington DC begins May 16. Once again, MCO staff will be on hand to exhibit and network. In preparation for the event, we’ve compiled our top 8 things to do while at FINRA in DC.
We have selected some of the GRC News highlights from the past month and summarized them into this blog post. Subscribe to keep up to date on more GRC news updates.
In today's political environment the Sunshine Act has received increased media attention. This legislation mandates that pharmaceutical companies take on the difficult task of monitoring and managing entertainment and hospitality for key opinion leaders (KOLs).
In order to better understand the necessary level of supervision required for this task, MCO has created an infographic based on data retrieved from Open Payments Data.Gov. We think it speaks for itself.
Earlier this week Brazilian conglomerate Odebrecht was ordered to pay a record $2.6 billion in fines for violations of anti-corruption laws in Brazil, Switzerland and the Foreign Corrupt Practices Act.
Here at MCO we keep a close eye on the activities of regulators. By our calculations, Q1 has been a record quarter for FINRA fines sanctioned. Read the highlights here; FINRA fines in Q1 2017 - 6 Findings.
Compliance Conference season is well underway. Next week, MyComplianceOffice will journey to “the heart of Europe” to exhibit and attend the SCCE’s 5th Annual European Compliance & Ethics in Prague, April 2-5. Back by popular demand is our list of top things to do and best “selfie” destinations to make the most out of your trip!
The SIFMA Compliance and Legal Society will gather for its annual event next week, March 19-22 in San Diego. The MyComplianceOffice staff is pleased to once again attend as exhibitors. To help plan your trip and ours, we researched and compiled a list of things to do and best “selfie” destinations. Here is our list of 8 things to do in San Diego.
To assist and prepare SEC registered investment advisers for exams, The SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert listing five of the most frequently identified compliance topics in deficiency letters following an examination.
We delved into the official enforcement actions of the FCPA (Foreign Corrupt Practices Act) from the SEC for 2016 and have been keeping a score sheet of all the fines by month. Now we present to you 7 facts from this long list of fines.
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has released its 2017 examinations letter. We at MCO have summarized the top areas of priority.
MCO hosted a live Webinar with NorthPoint Compliance on January 26. This included tips for registered investment advisers regarding compliance policies and how to conduct reviews and tests to assist you in the areas the SEC will be scrutinizing the most. You can watch live recordings from that webinar here: "2017 SEC Examination Priorities: Best Practices to Ace the Exam"
On Wednesday the Financial Industry Regulatory Authority (FINRA) released its annual examinations letter. We at MCO have summarized our top three takeaways.