MyComplianceOffice sponsors Compliance Week 2017

Posted by Bethany Sirven on May 19, 2017 8:00:00 AM

Supports compliance community’s premier event, May 22-24 in Washington, D.C.

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Topics: News, conferences, Compliance Week

Great Compliance Officers

Posted by Bethany Sirven on May 12, 2017 10:46:22 AM

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!

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8 things to do if you’re attending the 2017 FINRA Conference in DC

Posted by Bethany Murtiff on May 11, 2017 11:54:21 AM

 

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. 

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Topics: FINRA, conferences, compliance

GRC News Roundup April

Posted by Joe Boyhan on Apr 28, 2017 2:00:00 PM

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.

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Topics: News, grc news

The Facts About Open Pharma Payments [Infographic]

Posted by Cathy O'Donovan on Apr 26, 2017 10:58:10 AM

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.

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Topics: pharma

Odebrecht fined a record $2.6B for violations of the FCPA amongst other International Regulations

Posted by Joe Boyhan on Apr 21, 2017 10:18:04 AM

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.

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Topics: News, Corruption, FCPA

FINRA Fines Q1 2017 - 6 Findings

Posted by Joe Boyhan on Apr 6, 2017 11:22:25 AM

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.

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Topics: FINRA, FINRA Fines

8 things to do in Prague while at SCCE's European Compliance & Ethics Institute Conference

Posted by Bethany Sirven on Mar 31, 2017 8:00:00 AM

 

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!

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Topics: KYTP, conferences, Conference Tips

8 things to do in San Diego next week while at SIFMA's Compliance and Legal Society Annual Seminar

Posted by Bethany Sirven on Mar 15, 2017 1:11:03 PM

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.

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Topics: conferences, Conference Tips

Yahoo - A Data Security Nightmare

Posted by Joe Boyhan on Mar 7, 2017 11:29:01 AM

 

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Topics: cybersecurity, data security

Top 25 Most Common Passwords of 2016

Posted by Joe Boyhan on Mar 1, 2017 10:41:58 AM

 

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Topics: cybersecurity, data security

The SEC's 5 most Common Compliance Deficiencies

Posted by Bethany Sirven on Feb 16, 2017 10:54:12 AM

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.

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Topics: SEC, OCIE, SEC Exam, form adv

7 Reasons to Fall in Love with Compliance

Posted by Shane McGonigle on Feb 14, 2017 6:07:06 AM
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A-Z List of Financial Regulators

Posted by Joe Boyhan on Feb 9, 2017 10:44:19 AM

 

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Topics: KnowYourThirdParty, KYTP, vendor risk, Regulation, Third party risk

5 Ways to Improve Hedge Fund Compliance

Posted by Joe Boyhan on Jan 26, 2017 9:48:27 AM

 

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Topics: SEC, hedge fund compliance, Hedge Funds, KnowYourEmployee

FCPA Fines in 2016 - Summary

Posted by Joe Boyhan on Jan 25, 2017 10:52:38 AM

 

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.

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Topics: FINRA Compliance, FINRA, FINRA Fines, Regulation, FINRA Regulation

SEC & FINRA 2017 Examination Priorities Summary. Top 10 Must Know Priorities.

Posted by Joe Boyhan on Jan 20, 2017 11:58:41 AM

 

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Topics: SEC, FINRA

SEC 2017 Exam Priorities Summary

Posted by Bethany Sirven on Jan 13, 2017 10:34:49 AM

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"

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Topics: SEC, SEC Exam

FINRA 2017 Examination Priorities Summary

Posted by Bethany Sirven on Jan 6, 2017 10:44:27 AM

On Wednesday the Financial Industry Regulatory Authority (FINRA) released its annual examinations letter. We at MCO have summarized our top three takeaways. 

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Topics: FINRA

MCO: The Best of 2016

Posted by Joe Boyhan on Dec 22, 2016 7:50:09 AM

 

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