Next week, members of the MyComplianceOffice team will be joining compliance practitioners, regulators, and more at the 2018 NSCP National Conference at the Omni Atlanta Hotel at CNN Center. It's been a while since we've been down South, and we're excited for the catch up with NSCP members and explore all the great things to do in Atlanta.
It's conference season, which means great speeches, meeting new and old friends, plenty of networking opportunities and lots of travel.
This weekend MCO staffers are exhibiting at SCCE's Compliance and Ethics Institute in Las Vegas, a long haul from our offices in New York. Next week it's Atlanta for the NSCP National Conference. How do we keep busy on flights and stay in-the-know? Podcasts.
We're not alone. In 2017, Edison Research found that 42 million Americans listen to podcasts on a weekly basis, at an average rate of five per week
If you don't already have some go-tos, we've listed a few of ours to get you started.
Conduct risk is a form of business risk that refers to potential misconduct of individuals associated with a firm, including senior executives, staffers, vendors, customers, agents and other third-parties affiliated with the firm. Conduct risk poses an existential threat to companies across industries and jurisdictions.
Today's post debunks six common myths about conduct risk.
The Securities and Exchange Commission (SEC) Regulatory Notice 17-30 became effective on October 1, 2018, impacting FINRA qualification and registration rules.