Compliance Checklist for Registered Investment Advisers First and foremost, Registered Investment Advisers (RIAs) are held to a standard of fiduciary duty... READ MORE
Pay to Play Compliance - Understand the Impact of Political Donations SEC Rule 206(4)-5, commonly known as the pay-to-play rule, along with FINRA Rule 2030 and FINRA... READ MORE
Smarter Ethics and Conduct Risk Management for GCC The regulatory environment for financial institutions in the GCC (Gulf Cooperation Council) region... READ MORE
Conviction of Former Judge Over Insider Trading in Japan The Tokyo District Court has sentenced a former judge to 2 years imprisonment, suspended for 4... READ MORE
AI & The Compliance Officer: Secret Weapon or Liability? The compliance landscape is shifting at warp speed. Gone are the days when compliance officers... READ MORE
Managing Insider Information is the Key to Managing Trading Risk Employees who work at firms in the financial services industry are privy to sensitive information... READ MORE
Ready for the Switch to FINRA APIs? We’ve Got You Covered! As FINRA phases out WebEFT, financial institutions face the daunting task of migrating to FINRA's... READ MORE
Procurement to Prosecution: S$2.4m Bribery Scheme Exposed Singapore’s CPIB exposes a major corruption scheme funnelling millions through procurement fraud,... READ MORE
Top Ten Reasons to Love MyComplianceOffice MyComplianceOffice is an innovative, cost-effective and easy-to-use platform that streamlines... READ MORE
FINRA’s 2025 Oversight Report Highlights AML, OBAs & Third-Party Risk The Financial Industry Regulatory Authority (FINRA) has released its 2025 Annual Regulatory... READ MORE
Insider List and Information Management under MAR The European Market Abuse Regulations (MAR) have been in effect since July of 2016. Regulatory... READ MORE
Unpacking the SFC’s New Market Sounding Guidelines The Hong Kong Securities and Futures Commission (SFC) has released new guidelines for market... READ MORE
Learn From Compliance Violations to Understand Your Gaps Violations are a sensitive area for any firm. No one wants to deal with compliance issues. The... READ MORE
Steering Clear of Insider Trading: Chauffeur's Wife Fined $107K A recent case in Hong Kong has sent a clear signal to financial firms about the dangers of failing... READ MORE
Growth Drives Risk and Compliance Challenges in the UAE and Saudi Arabia As the United Arab Emirates (UAE) and the Kingdom of Saudi Arabia (KSA) continue developing as... READ MORE
Be Audit Ready by Optimizing Compliance Recordkeeping and Data As part of the audit process, regulators expect you’ll have quick and easy access to your... READ MORE
Unpacking APRA and ASIC’s Observations of FAR Implementations The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments... READ MORE
SEC Examination Priorities Provide a Roadmap for 2025 Compliance The US Securities and Exchange Commission has published its rundown of Examination Priorities for... READ MORE
Staying Ahead of Regulatory Change in eComms Surveillance Regulators around the globe are taking a firm stance against off-channel communications. In the US,... READ MORE
Addressing Compliance Within Financial Firms’ CPD Requirements The financial services industry brings substantial responsibilities for those working within it,... READ MORE
Mitigate Risk During the Gift-Giving Season and Beyond The holiday season will be here before we know it! And that means gifts and entertainment... READ MORE
SFC Issues 6-Month Ban for Fit and Proper Requirements Failure The Securities & Futures Commission of Hong Kong (SFC) issues a 6-month ban on a trader for... READ MORE
MNPI Remains a High Risk Area for Compliance Failing to adequately manage Material Non-Public Information (MNPI) remains a high-risk area for... READ MORE
Top Ten Reasons Why We Love Compliance Officers In honor of National Compliance Officer's Day, we wanted to share the many reasons why we love... READ MORE
Now's the Time to Plan for FINRA Renewals Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps... READ MORE
Hong Kong’s SFC Imposes Life Ban on Former Associate Director Hong Kong’s Securities and Futures Commission (SFC) has imposed a lifetime ban on a former... READ MORE
APRA and ASIC Superannuation Roundtable Insights & Outcomes APRA and ASIC hosted Superannuation CEO Roundtables in June and July 2024, focusing on a central... READ MORE
Brisbane Financial Adviser Sentenced to 12 Years Imprisonment A former financial adviser and director of a financial institution (FI) in Brisbane, Australia, has... READ MORE
Bill Passed to Boost Singapore's Fight Against Money Laundering Singapore’s Parliament has passed the Anti-Money Laundering (AML) and Other Matters Bill, a crucial... READ MORE
Using AI? The Rules of Effective Compliance Still Apply Artificial intelligence (AI) has emerged as a powerful tool in compliance and technology. From... READ MORE
Too Many Firms Still Track Employee Registration Compliance Manually Tracking employee compliance credentials including licensing, registrations and continuing... READ MORE
Fit for Purpose – Consumer Duty Compliance Remains a FCA Priority It's been almost one year the Consumer Duty came into force, setting higher and clearer standards... READ MORE
Preparing for Markets in Crypto-Assets Regulation (MiCA) The Markets in Crypto-Assets Regulation (MiCA) institutes uniform regulations for crypto-assets... READ MORE
ASIC Calls for Stronger Supervision of Business Communications The Australian Securities and Investments Commission (ASIC) has called on market intermediaries to... READ MORE
APRA Launches Prudential Handbook to Simplify Compliance The Australian Prudential Regulation Authority (APRA) has undergone several initiatives over the... READ MORE
APRA Slaps Super Fund with Additional Licence Conditions The Australian Prudential Regulation Authority (APRA) has imposed additional licence conditions on... READ MORE
Streamline Employee Attestations and Certifications Financial services firms are among the most heavily regulated organizations worldwide. From the FCA... READ MORE
ASIC Action Results in $1.25 Million Fine of “Licensee for Hire” Firm The Australian Federal Court recently issued a staggering $1.25 million penalty against a wholesale... READ MORE
Infographic: Personal Account Dealing Compliance Personal Account Dealing, when employees gain personal profit from inside information or other data... READ MORE
The SEC Speaks About Off-Channel Communications, Disclosures and More Presented by the Practising Law Institute in conjunction with the U.S. Securities and Exchange... READ MORE
A Guide to Global Regulators Covering Communications Surveillance U.S. Securities and Exchange Commission (SEC) enforcement for failure to maintain and preserve... READ MORE
A Tale of Just Right Compliance Technology Once upon a time, there was a company that was looking to purchase compliance software. The... READ MORE
Singapore Regulation 2024: MAS Anti-Money Laundering Updates The Monetary Authority of Singapore (MAS) is taking aim. Anti-Money Laundering (AML) and Combating... READ MORE
Benchmark Your Trade and Communications Surveillance Program The 2024 Surveillance Benchmarking Survey & Report from 1LoD, co-sponsored by MCO, contains... READ MORE
MAS Bill Set to Enhance Investigative and Supervisory Powers The Financial Institutions (Miscellaneous Amendments) Bill, or FIMA Bill, aims to enhance the... READ MORE
Navigating Pay-To-Play Compliance in an Election Year and Beyond The 2024 U.S. Presidential election is grabbing the headlines right now. However, 469 other federal... READ MORE
Australia Steps Up Foreign Bribery Prevention with New CFB Bill The Combatting Foreign Bribery (CFB) Bill aims to reform Australia’s foreign bribery offences. It... READ MORE
SFC News: 2024-2026 Strategic Priorities and Takeaways for Your Firm Hong Kong’s Securities and Futures Commission (SFC) has detailed its strategic priorities to... READ MORE
The Financial Accountability Regime (FAR Bill) Draws Closer The long-awaited Financial Accountability Regime (FAR Bill) will come into effect for the... READ MORE
FINRA Priorities Include Conflicts of Interest and Communications The 2024 FINRA Annual Regulatory Oversight Report provides firms with insight into findings from... READ MORE
A-Z List of Financial Regulators In the dynamic landscape of financial services compliance, multiple global regulators play a... READ MORE
SEC Enforcement and Priorities Set Compliance Expectations for 2024 2023 was another active year for U.S. Securities and Exchange Commission (SEC) enforcement,... READ MORE
Tech and AI in Finance: Singapore’s Focus (SFF2023 Takeaways) The 2023 Singapore FinTech Festival (SFF2023) brought a hive of activity and excitement to the... READ MORE
MCO Best Conduct Risk Solution at the RegTech Insight Awards USA 2023 Global risk and compliance technology provider MCO has been named Best Conduct Risk Solution at the... READ MORE
MCO Wins Financial Services and Fintech Exporter of the Year Dublin, 16 November 2023. Global risk and compliance technology provider MCO (MyComplianceOffice)... READ MORE
MAS Enforcement Reports 39 Convictions and $20.8m in Penalties MAS enforcement actions between January 2022 and June 2023 include 136 cases opened, 39 criminal... READ MORE
MAS Revises FAA and SFA Competency Requirements The Monetary Authority of Singapore (MAS) has finalised its revision of competency requirements for... READ MORE
A Lack of Compliance Evidence Means it Didn’t Really Happen Risk management is a continuous process rather than a linear one. A pragmatic Know Your Obligations... READ MORE
The Intersection of Culture and Compliance Employees at all levels of the organization make decisions that impact compliance every single day.... READ MORE
Financial Accountability Regime (FAR Bill) Passes Both Houses Legislation has passed both Houses of the Australian Parliament to introduce the Financial... READ MORE
The Right Indicators Bring Clarity to Assuring Compliance Oversight If the first stage of a pragmatic Know Your Obligations strategy is deconstructing and... READ MORE
Blackout Periods and Insider Trading Risk for Listed Companies Insider trading cases have seen a variety of sentences over the years. However, some jurisdictions... READ MORE
Mitigate Employee Insider Risk With Compliance Technology Insider dealing is a perennial concern for regulators around the globe. Agencies like the SEC, the... READ MORE
HK SFC to Bolster Enforcement of Cross-Border Insider Trading Hong Kong’s Securities and Futures Commission (SFC) has published its consultation conclusions on... READ MORE
Data Mapping Effectively Deconstructs Compliance Obligations Regulations, frameworks, policies and controls define the day-to-day of the Chief Compliance... READ MORE
4 Conflicts of Interest Examples (and Solutions) Across APAC A conflict of interest happens when a person with multiple interests serves one to the detriment of... READ MORE
SEC Priorities Focus on MNPI, Insider Trading and Crypto Temperatures are hot across the United States right now – and so is U.S. Securities and Exchange... READ MORE
A Spotlight on SGX-Listed Companies’ Regulatory Compliance Recent enforcements by the Monetary Authority of Singapore (MAS) highlight the need for SGX-listed... READ MORE
Optimal Outside Business Activities Compliance Goes Beyond Disclosures It’s 4PM on a Friday. You were hoping to wrap up for the day to start your weekend, but there’s a... READ MORE
The Top 5 Compliance Executives’ Priorities in 2023 (APAC Edition) At a recent compliance round-table event in Hong Kong, compliance experts, executives, and chief... READ MORE
Take a Forward-Looking View to Manage Conflicts of Interest The days when firms could write off regulatory fines as the cost of doing business are long over.... READ MORE
MAS Guidelines: Expectations of FIs' Advisory Activities for IPOs It has been a lukewarm first quarter of 2023 for the global Initial Public Offering (IPO) market.... READ MORE
Summary: SFC Consultation Conclusions for VA Trading Platforms After challenges with strict COVID restrictions and political issues in the last several years,... READ MORE
Compliance Pitfalls for Newly Registered Investment Advisers The United States Securities and Exchange Commission's Division of Examinations Risk Alert:... READ MORE
Regulatory Compliance Rising Rapidly in Malaysia (Latest Guidance) The 1MDB scandal saw Malaysia’s former Prime Minister jailed for 12 years with a fine of 210m... READ MORE
Insider Trading in the Lead-Up to the Banking Crisis The stability of the global banking system is a top-of-mind concern for everyone right now. And as... READ MORE
Europe & UK Leading Crypto Regulation Europe has been at the forefront regarding crypto asset regulation with its recently approved... READ MORE
Hong Kong ICAC Releases Anti-Corruption Guide for Banking Industry Hong Kong has become one of the most corruption-free nations in the world. The Transparency... READ MORE
Regulatory Expectations Demand the Latest SaaS Compliance Technology A while back “build vs. buy” was a hot topic when firms were looking to implement new or updated... READ MORE
Change is the Theme at SIFMA Compliance & Law 2023 A consistent theme across sessions at the 2023 SIFMA Compliance and Law Annual Seminar was change.... READ MORE
Hong Kong SFC to Regulate Virtual Asset Trading Platforms The virtual asset market has seen its share of upheaval recently. By the end of 2022, the global... READ MORE
How to Manage Connected Persons and Personal Relationships Compared with other industries, the financial services industry inherently has an elevated risk of... READ MORE
Adopted SEC Rule 10b5-1 Amendments Increase MNPI Scrutiny The U.S. Securities and Exchange Commission adopted proposed amendments to Rule 10b5-1 to enhance... READ MORE
Authority, Ability & Responsibility: Keys to CCO Liability If you’re in Compliance, you know the crucial role that the Chief Compliance Officer plays in... READ MORE
MAS Bans Payment for Order Flow (PFOF) from 1 April 2023 In late 2022, the Monetary Authority of Singapore (MAS) announced a complete ban on payment for... READ MORE
When Does Personal Trading Become Insider Trading in Finance Firms? The preservation of healthy financial markets relies on having safe, properly regulated... READ MORE
How to Reduce Insider Trading Risk and Stay Out of the Headlines Cases of insider trading and securities compliance failures have made headlines in recent years.... READ MORE
FCA's Dear CEO Letter Puts Focus on Personal Trading and Market Abuse On 11 January 2023, the Financial Conduct Authority (FCA) published a "Dear CEO" letter to... READ MORE
2023 FINRA Exam Report Includes New Financial Crime Risks The 2023 Report on FINRA’s Examination and Risk Monitoring Program provides firms with insight into... READ MORE
Investment in Proven Fintech and RegTech Pays Off The Thomson Reuters® Regulatory Intelligence survey and report Fintech, RegTech, and the role of... READ MORE
Small Compliance Team Priorities for 2023: KYE in the Spotlight Organisations across the globe invest heavily in resources to strengthen relationships between the... READ MORE
Record SEC Enforcement in 2022 Brings Steep Penalties for Misconduct U.S. Securities and Exchange Commission Chair Gary Gensler said in a speech to the Practicing Law... READ MORE
Your SEC Examination Priorities Guide + the APAC Impact in 2023 For every registered firm with the SEC, it’s not a matter of if you’ll be examined but when.... READ MORE
MCO Wins the Scale Up Award at the Deloitte Technology Fast 50 Ireland Global conduct risk and compliance technology provider MyComplianceOffice (MCO) has placed in the... READ MORE
Enhancing Regulatory Compliance for Your Small Business in 2023 Small businesses and financial firms have undergone seismic shifts over the last few years. The... READ MORE
Outside Business Activity: Putting the Spotlight on Moonlighting “Remember - NO TWO-TIMING - NO MOONLIGHTING”, reads a recent email from Infosys to its employees.... READ MORE
PRA’s Dear CEO Letter Puts the Focus on Governance and Control It’s been just about a year since the Bank of England’s Prudential Regulation Authority (PRA)... READ MORE
Competing Priorities Drive the Need for Compliance Technology Competing priorities for compliance departments today include tight budgets, challenges hiring and... READ MORE
SEC Bulletin Highlights Need for Effective Conflicts Management The U.S. Securities and Exchange Commission (SEC) recently released the staff bulletin Standards of... READ MORE
The Evolution of Regulatory Compliance and Risk Management The modern workplace has undergone a significant evolution in recent years. The pandemic has... READ MORE
SEC Announces Spring 2022 Regulatory Agenda The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2022 Unified... READ MORE
Reducing Compliance Risk in Workplaces Across Southeast Asia Southeast Asia is a region of diverse cultures, religions, and political frameworks that holds a... READ MORE
RegTech Adoption is the Way Forward for Better Compliance I recently had the privilege of speaking on the sessionRegTech Adoption – The Way Forward at the... READ MORE
FCA's 2022-2025 Strategy Focuses on Data, Conduct Risk and Outcomes The U.K. Financial Conduct Authority (FCA) has released its three-year strategy for 2022-2025. The... READ MORE
Technology Gives Firms a Better Handle on Managing Digital Asset Risk Regulated digital assets might sound like an oxymoron given that cryptocurrency was developed as an... READ MORE
FCA Fines Asset Management Firm and Employee for Conflicts of Interest The UK Financial Conduct Authority (FCA) has clearly set expectations to ensure that asset managers... READ MORE
SEC Focuses on MNPI and Code of Ethics Issues The SEC issued the Risk Alert Investment Adviser MNPI Compliance Issues to provide investment... READ MORE
MCO Announces Close of Schwab Compliance Technologies Acquisition New York, May 2, 2022: MCO (MyComplianceOffice), a global provider of conduct risk and compliance... READ MORE
The Compliance Challenges Firms Need to Tackle Conduct risk issues including employee compliance, transaction surveillance and third party risk... READ MORE
The SEC and the “RIC-ification” of Private Funds Have recent proposals foreshadowed a fundamental change to the regulation of private funds in the... READ MORE
What’s the Latest in Books and Records Compliance? It should come as no surprise to compliance teams that the management of Books and Records is in... READ MORE
The Importance of Compliance Management Compliance is a crucial business function for every large-scale and small-scale organisation. It is... READ MORE
How Small Firms Can Benefit From Compliance Technology Every single firm, no matter how big or small, has to adhere to all the latest regulations,... READ MORE
Crypto Regulations in Singapore and Recent Enforcements The regulatory framework for Digital Assets and Cryptocurrencies (Crypto) has been rapidly... READ MORE
Failure to Disclose Relationship Leads to a Public Crisis Failure to disclose connected persons and personal relationships as required by firm policies and... READ MORE
Hong Kong’s Regulator Fines Asian Bank Over Stock Trading Misconduct In January 2022, Hong Kong’s financial-markets regulator fined a large Asian Bank HK$348.25m... READ MORE
Integrated Data Helps Manage Conduct Risk During the webinar Conduct, Compliance and Ethics in Capital Markets, an executive panel with... READ MORE
Insider Trading, Crypto and SPACs top the SEC’s List of Concerns The U.S. Securities and Exchange Commission (SEC) recently released it’s report of enforcement... READ MORE
Insider Trading Leads to Criminal and Civil Penalties A consulting firm partner who was advising a global bank on the acquisition of a FinTech loan... READ MORE
Now’s the Time to Wrap Up Gifts & Entertainment Policies It’s that time of year again! The end of the year brings opportunity for corporate gift giving and... READ MORE
SPACs, IPOs and Conduct Risk Special Purpose Acquisition Companies (SPACs) are a hot topic in the news right now—and an issue... READ MORE
Scared That Your Employees Have Two Jobs? Let’s talk about remote employees working at two jobs. Have you come across this before? A recent... READ MORE
Insider Trading Scandal Shocks Germany's Asset Management Community Last year, German police arrested a senior fund manager in Frankfurt for insider trading. The fund... READ MORE
An Overview of Conduct, Culture and Accountability Regimes The ASIFMA Compliance Week focused on various relevant topics for Compliance professionals, from... READ MORE
Individuals Charged in Relation to Insider Trading in Singapore The Monetary Authority of Singapore (MAS) released a press release stating that three individuals... READ MORE
How To Meet FCA Reporting Requirements (and Avoid Regulatory Action) The Financial Conduct Authority (FCA) regulates over 58,000 financial services firms and financial... READ MORE
Start to Prepare for the Senior Executive Accountability Regime (SEAR) The Central Bank of Ireland and other international regulators such as the FCA in the UK and MAS in... READ MORE
FCA Business Plan 2021/22 Focuses on ESG Risks and Market Abuse The UK Financial Conduct Authority (FCA) 's 2021-22 Business Plan was published on 15 July 2021 and... READ MORE
Cost of Compliance 2021 – Challenges and Change 2020 and 2021 have been eventful years, dominated by the COVID-19 pandemic and political and... READ MORE
MCO Honored on List of Top 100 Financial Technology Companies of 2021 New York – MCO (MyComplianceOffice) announced that it has been named one of the Top 100 Financial... READ MORE
Facing compliance system migration? Investigate the options! What happens when a software upgrade involves not just a few changes to your existing compliance... READ MORE
SEC’s Annual Agenda Includes Focus on ESG Disclosures The U.S. Securities and Exchange Commission (SEC) recently released its Annual Agenda for 2021. The... READ MORE
Meet a Member of the Team - Conor Sexton MCO is a growing SaaS-based software company, and our employees make a significant impact on this... READ MORE
Overview of FCA Principles for Business The Financial Conduct Authority (FCA) is the conduct regulator for nearly 60,000 financial services... READ MORE
Avoid Regulatory Action with Broker-Dealer Compliance Software In a landscape rife with legal obligations, few financial firms are as heavily regulated as... READ MORE
Time To Get Serious About SMCR in the Context of Climate Change In April 2019, the Prudential Regulation Authority (PRA) sent a letter to CEOs highlighting its... READ MORE
Singapore: MAS Guidelines on Individual Accountability and Conduct The Monetary Authority of Singapore (MAS) released its guidance on the 10th September 2020 on the... READ MORE
A Quick Guide to Compliance Management Between security, financial, and many other regulations, compliance has become a critical business... READ MORE
Automated Compliance Reporting is a CCO’s Insurance Policy According to Compliance Expert Elin Cherry from Elinphant, “anyone who’s actually worn the hat of... READ MORE
Compliance Podcasts You Should Listen To Podcasts aren’t new but they are on the rise, and for a reason, they are an engaging, informative... READ MORE
The Basics of Conduct Risk Conduct risk is a form of business risk that refers to potential misconduct of individuals... READ MORE
MCO Named Among 50 Leading Companies of the Year The Silicon Review Magazine listed MCO among 50 leading companies of the year 2021 and published an... READ MORE
Capturing Employee Personal Trades Automating the monitoring of personal trade accounts requires the capture of trade data in an... READ MORE
Key Factors Shaping Market Abuse Regulations During 2020, many factors have shaped the regulations and enforcement actions to maintain market... READ MORE
Using Technology to Build a Culture of Compliance Compliance professionals are aware that creating a strong culture of compliance should be a... READ MORE
Constraints and Pressures Facing Compliance Today What are the most significant pressures facing compliance programs in 2021? And where are the... READ MORE
MCO Recognised Among Top 50 Fintech Leaders CeFPro published its Fintech Leaders Report that ranks the industry’s top 50 services providers and... READ MORE
Financial Services Firms Suspend or Review Political Contributions The aftermath of the political unrest at the U.S. Capitol last week has seen many Financial... READ MORE
Reduce Compliance Risk by Doing More With Less A recent Deloitte study found that organizations surveyed indicated that that as their compliance... READ MORE
FINRA Guidance on the Supervision of Independent Contractors Many of the firms that I work with, both large and small, work with representatives that are... READ MORE
2020: A Great Year of Webinars 2020 was a different year, but some things never change. MCO once again hosted several webinars to... READ MORE
Compliance Predictions and Pressing Questions for 2021 During the webinar A Compliance Officer’s Crystal Ball – One Practitioner’s Predictions for 2021,... READ MORE
MCO Recognized for Shaping the Future of Compliance MCO (MyCompliaceOffice), the leading provider of automation for the management of compliance and... READ MORE
Hong Kong SFC enforces Employee dealing non-compliance The Hong Kong Securities regulator - The Securities and Futures Commission (SFC) has suspended the... READ MORE
What Spooked Compliance Officers this year 2020 has been a scary year and there have been a few things that have spooked the most experienced... READ MORE
Reasons to Automate Compliance Why companies are investing in compliance automation in the first place? The automation... READ MORE
Pay-to-Play Compliance Key in Record Breaking Election Cycle The Federal Election Commission (FEC) recently released their Statistical Summary of 18-Month... READ MORE
ESMA Publishes MAR Review Report On September 23rd, the European Securities and Markets Authority (ESMA) published a set of outcomes... READ MORE
Control Room Rules & Regulations With the increased challenges for financial Control Rooms, global regulators continue to pressure... READ MORE
Using Technology to Transform Compliance Financial institutions never faced as many challenges as during Covid-19. In order to face... READ MORE
The Right Story Builds a Strong Business Technology Case Getting buy-in from key stakeholders in your organization is a critical part of a successful... READ MORE
Technology Helps Firms with Remote Work Compliance Remote work is a part of the current normal in the financial services industry, in the short term... READ MORE
Conflicts of Interest Examples & Cases in Financial Services Companies in financial services have an elevated risk of encountering conflicts of interest, due... READ MORE
Meet a Member of the Team - Jasmine Northrop We are an international team with offices in 3 different continents and employees from more than 20... READ MORE
FCA Consults on Extending SMCR Deadlines The FCA is consulting on extending the deadlines for the SMCR for solo-regulated firms until 31... READ MORE
Compliance in the second half of 2020 The coronavirus pandemic has been a significant event, bringing lots of uncertainty to... READ MORE
FASEA Requirements & Code of Ethics for Financial Advisers The Financial Adviser Standards and Ethics Authority (FASEA) sets education, training and ethical... READ MORE
DOJ Demonstrates Heightened Focus on Third-Party Risk Recent guidance from the US Department of Justice (DOJ) on the Evaluation of Corporate Compliance... READ MORE
Avoiding Software Purchase Remorse When a company makes the decision to implement compliance software, the steps they take at the very... READ MORE
Procurement Is Not Your Enemy One of the top reasons enterprise decision-makers give for not wanting to work with procurement is... READ MORE
SEC Finds Deficiencies in Disclosing Conflicts of Interest and MNPI The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange... READ MORE
Regulatory Focus on Conduct and Culture The global workforce has been under pressure since March, when the lockdown started in most... READ MORE
RegTech trends and insights to watch with Brian Fahey, MCO The Irish Tech News published a chat with Brian Fahey, MCO CEO, featuring the recent RegTech... READ MORE
Compliance Officers New Responsibilities After European countries such as Spain, Italy, Frace, and Ireland start to reopen considering... READ MORE
Remote working increases market abuse risks At the beginning of the Covid-19 crisis, the FCA released a statement, where the regulator has... READ MORE
Meet a Member of the Team - Colleen Umathum MCO is committed to delivering the best product and services to our customers. Thanks to our team... READ MORE
The Impact of Employee Misconduct Over the last decade, many scandals in the financial services industry have shined a light on the... READ MORE
FCA Priorities for the Year Ahead The FCA has stated that a primary focus in 2020 is to mitigate the impact of Covid-19 on the... READ MORE
Podcast with our Director Asia-Pacific, Kelly-Ann McHugh We are delighted to announce that our director Asia-Pacific, Kelly-Ann McHugh has joined the Risky... READ MORE
RegTech Insight Interviews Brian Fahey, MCO CEO MCO is one of the leading providers of regulatory and risk technology for financial services. We... READ MORE
5 key steps to prepare for the FCA’s requirements on PAD The FCA have been highlighting that firms are failing to implement various recommendations in their... READ MORE
Regulators Expectations of Institutional Governance You might have asked yourself “what governance expectations do regulators have?”. Well, regulators... READ MORE
The Future of Compliance PWC predicts that more than 30% of today’s human workforce will be replaced by artificial... READ MORE
SEC Will Focus on Good Faith Efforts in Reg BI Enforcement On April 7 the SEC published two Risk Alerts providing broker-dealers and investment advisors with... READ MORE
Criminal Sanctions for Market Abuse in the EU The European Commission has published a report regarding the implementation of CSMAD - Criminal... READ MORE
SEC on COVID19 and Market Integrity On March 23, 2020, the following statement was released from Stephanie Avakian and Steven Peikin,... READ MORE
Understanding the Regulatory Impact of COVID-19 The COVID-19 pandemic has brought unprecedented circumstances to the financial services industry... READ MORE
A Closer Look at Gifts and Entertainment Compliance We are relentlessly curious about how organizations deal with their Gifts and Entertainment rules... READ MORE
Women’s journey to the compliance world It’s International Women’s Day this March 8th and the theme for this year's celebrations is... READ MORE
Global Expansion is Challenging Compliance “We can’t change human nature, or the pressures of business and the economic/political backdrop,... READ MORE
Brian Fahey: My Risks Paid Off When America Complied Brian Fahey started out at the worst possible time: in 2008. He began selling into the financial... READ MORE
FASEA New Requirements Overview The Australian Financial Adviser Standards and Ethics Authority (FASEA) is responsible for... READ MORE
Video: Get to Know MCO's Third-Party Risk Mgt Solution The key to effective third-party risk management is ensuring controls are in place when a... READ MORE
How to Design an Effective Conflict of Interest Policy A compliance officer's role includes effectively managing conflicts of interest to enhance a firm's... READ MORE
FCPA-Related Jury Trial Convicts Four Defendants in 2019 The Foreign Corrupt Practices Act of 1977 (FCPA) is a United States law and prohibits firms and... READ MORE
Dealing with Corporate Gifts During the Festive Season Yes, that wonderful time of the year has arrived again. The time where most of your employees will... READ MORE
