Recent Posts by Lisa Deschamp

 
VP of Marketing at MCO
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Top Ten Reasons to Love MyComplianceOffice

MyComplianceOffice is an innovative, cost-effective and easy-to-use platform that streamlines compliance and regulatory processes for financial services firms. Its integrated technology and comprehensive suite of solutions lets firms take a proactive approach to compliance management and the mitigation of potential conflicts of interest and risk.

Our 1300+ customers across 105 countries find many reasons to love MyComplianceOffice. Here are just a few!

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Get the Message! Preserve eComms or Face Steep Regulatory Consequences

In recent months the SEC and CFTC have charged multiple Wall Street firms with widespread recordkeeping failures, handing down staggering penalties in excess of 1.5 billion dollars. Firms—including smaller ones—should only expect that the aggressive enforcement will continue.  And the SEC's Division of Examinations 2024 Priorities only reinforce the agency's continued focus on the importance of record keeping and demonstrable compliance. 

Are your books and records ready to stand up to regulatory scrutiny?

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FINRA Priorities Include Conflicts of Interest and Communications

The 2024 FINRA Annual Regulatory Oversight Report provides firms with insight into findings from FINRA’s regulatory operations programs including Member Supervision, Market Regulation and Enforcement. Addressing a broad range of topics spanning conflicts of interest, disclosures, communication practices and crypto asset compliance, the report contains information that firms can use to strengthen their compliance programs in 2024 and beyond.

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SEC Enforcement and Priorities Set Compliance Expectations for 2024

2023 was another active year for U.S. Securities and Exchange Commission (SEC) enforcement, encompassing a wide range of violations against individuals and firms of all sizes.  

Understanding 2023 enforcement actions along with the agency’s 2024 enforcement priorities will help firms better assess and anticipate regulatory expectations—and set the stage for better compliance. 

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Mitigate Risk During the Gift-Giving Season and Beyond

The holidays are here. The air is filled with cheer. . . and gifts and entertainment that might be putting your organization at risk. And those gift and entertainment compliance concerns don't end when the holidays are over. Taking a mindful approach to both the giving and receiving of gifts and entertainment can help firms stay on top of compliance throughout the year.

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