Recent Posts by Bethany Sirven

 
Bethany is a Marketing Executive with MyCompianceOffice
Find me on:

Compliance Podcasts for Your Next Travel Day

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 ConferenceHow 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.

Read More

6 Myths about Conduct Risk

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. 

Read More

FINRA Consolidated Registration Rules Go into Effect

The Securities and Exchange Commission (SEC) Regulatory Notice 17-30 became effective on October 1, 2018, impacting FINRA qualification and registration rules. 

Read More

The Basics of Conduct Risk: 3 Things to Know


1) Conduct risk is typically associated with human misbehavior. 

Read More

Legg Mason resolves FCPA violations

Legg Mason Inc will pay $34 million to the Securities and Exchange Commission (SEC) to resolve FCPA-related charges. 

Read More