MyComplianceOffice Blog

Each year, FINRA releases its "Annual Regulatory and Examination Priorities Letter." Compliance thought leaders and industry publications rush to comment and discuss.

“He’s making a list, checking it twice. . .”

Even if you don’t believe in Santa, we at MCO think it is a great time of year to recognize fellow professionals for their outstanding contributions to the field of compliance and risk in 2017.

Yesterday, we looked at some of the biggest fines of the year, or  'The Naughty List'. Today we look at some of the more positive events of the year, 'The Nice List'.

2017 marked the first year of Foreign Corrupt Practices Act (FCPA) enforcement under the Trump administration. In the following post, we look back at significant FCPA-related announcements, trends and enforcement actions from the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC). Showing the importance of an effective FCPA compliance program in 2017 and in the Trump era.

SEC and FINRA Pay-to-play can be tricky for even the most experienced of Compliance Officers. Now is a great time of year to review your compliance programs for any potential weakness. 

It's the time of year again when compliance practitioners, experts and regulators gather in Washington DC to network and discuss industry issues annual conferences. To make your next trip a little more fun, MyComplianceOffice (MCO) staff has put together a list of great things to do while in DC.