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    SFC Issues 6-Month Ban for Fit and Proper Requirements Failure

    October 7, 2024 | By MCO APAC Team

    The Securities & Futures Commission of Hong Kong (SFC) issues a 6-month ban on a trader for concealing a significant trade execution error and only reporting the incident to management and compliance 4 days later.

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    At MCO we love Compliance Officers

    Top Ten Reasons Why We Love Compliance Officers

    September 25, 2024 | By Lisa Deschamp

    In honor of National Compliance Officer's Day, we wanted to share the many reasons why we love compliance officers. Read on for our top ten!

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    Get the Message! Preserve eComms or Face Steep Regulatory Consequences

    September 24, 2024 | By Lisa Deschamp
    Over the past few years, the SEC and CFTC have charged multiple Wall Street firms with widespread recordkeeping failures, handing down staggering penalties of upwards of three billion dollars and counting. In a round of sweeps in August 2024, the SEC levied fines totaling over $390 million against 26 firms, and the CFTC handed down combined additional penalties of $80 million against three of the firms involved. In September, the SEC widened the scope of the regulatory actions to include municipal advisers and handed down even more charges against twelve additional firms. 
     

    With no end in sight to the consistent and costly enforcement, are your books and records ready to stand up to regulatory scrutiny?

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    Manage FINRA Renewals with ease with MCO

    Now's the Time to Plan for FINRA Renewals

    September 17, 2024 | By Lisa Deschamp

    Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps every year, and the deadlines are coming up fast. Now’s the time to make sure that you have the right framework in place to manage your renewals on time, cost effectively, and efficiently—this year and moving forward.

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    Hong Kong’s SFC Imposes Life Ban on Former Associate Director

    September 13, 2024 | By MCO APAC Team

    Hong Kong’s Securities and Futures Commission (SFC) has imposed a lifetime ban on a former Associate Director of a multinational investment bank and financial services company from re-entering the city’s financial industry.

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