MyComplianceOffice Blog

In 2015, the SEC reached a more than $30 million settlement with a financial firm concerning allegations that more than $17 million in expenses were misallocated. The charges outlined in the SEC order were among the most significant in the private equity industry to date.

SEC Chairwoman Mary Jo White said Tuesday that the agency plans to monitor the implementation of the Department of Labor Fiduciary Rule before moving ahead with a uniform fiduciary rule in case, “conflicts develop.” More on the DOL Rule here.

Everyone knows that conferences provide ample opportunity for compliance practitioners to attend informative panels and hear valuable discussions on regulatory developments. It’s also a time to create and develop meaningful contacts for your career. With this goal in mind, we at MCO have updated our 2016 list to our seven best practices for 2017. We hope this helps you to get the most out of your next conference or chance to network.