Recent Posts by Lisa Deschamp

VP of Marketing at MCO
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MCO Wins Best Regulatory Change Management Solution

London, 19 May 2023 - MCO, a leading provider of compliance technology solutions, is thrilled to announce its prestigious win at the RegTech Insight Awards Europe. The company has been recognized as the recipient of the award for Best Regulatory Change Management Solution.

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Compliance Pitfalls for Newly Registered Investment Advisers

The United States Securities and Exchange Commission's Division of Examinations  Risk Alert: Observations from Examinations of Newly-Registered Advisers covers the regulator’s typical focus areas and common observations. The Alert warns newly-registered advisers to pay close attention to the firm’s compliance policies and procedures, disclosures and marketing practices – advice that well-established firms should be heeding as well.

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Fit for Purpose – Are Firms Prepared for FCA Consumer Duty?

The countdown is on!  With July 2023 coming up fast, is your firm prepared for the UK Financial Conduct Authority's new Consumer Duty?

As the final deadline rapidly approaches, the FCA continues to release guidance to firms, including a multi-firm review of where Consumer Duty implementation plans stand to date and Dear CEO Letters with guidance specific to industry sectors.

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A Tale of Just Right Compliance Technology

Once upon a time, there was a company that was looking to purchase compliance software. The software and manual processes that the firm was using to manage compliance just weren’t keeping up with the firm’s growth and it was time to move on.

But like Goldilocks in the classic tale of the Three Bears, they found that not all compliance software was just right.

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Insider Trading in the Lead-Up to the Banking Crisis

The stability of the global banking system is a top-of-mind concern for everyone right now. And as the world worries about bank liquidity and the safety of their deposits, a handful of executives have been using access to insider information to turn staggering profits by selling off company stock.

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