MyComplianceOffice Blog

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!

Compliance Conference season is well underway. Next week, MyComplianceOffice will journey to “the heart of Europe” to exhibit and attend the SCCE’s 5^th 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!

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.

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"

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