Risk and Compliance Insights - Page 14 | MyComplianceOffice

MCO helps firms effectively track licenses, registrations and continuing education

Too Many Firms Still Track Employee Registration Compliance Manually

Tracking employee compliance credentials including licensing, registrations and continuing...

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FCA Consumer Duty is bringing a paradigm shift to UK financial services.

Fit for Purpose – Consumer Duty Compliance Remains a FCA Priority

It's been almost one year the Consumer Duty came into force, setting higher and clearer standards...

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MCO helps firms prepare for crypto-asset compliance and MiCA regulation

Preparing for Markets in Crypto-Assets Regulation (MiCA)

The Markets in Crypto-Assets Regulation (MiCA) institutes uniform regulations for crypto-assets...

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Close-up of a person's blue eye with visible wrinkles, conveying a sense of wisdom and experience. The lighting is soft, creating a calm atmosphere.

ASIC Calls for Stronger Supervision of Business Communications

The Australian Securities and Investments Commission (ASIC) has called on market intermediaries to...

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Man working on laptop at desk with documents and pen nearby.

APRA Launches Prudential Handbook to Simplify Compliance

The Australian Prudential Regulation Authority (APRA) has undergone several initiatives over the...

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Hands protecting a pink piggy bank on a wooden table, symbolizing financial security.

APRA Slaps Super Fund with Additional Licence Conditions

The Australian Prudential Regulation Authority (APRA) has imposed additional licence conditions on...

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Firms use MyComplianceOffice to effectively manage compliance certifications and attestations

Streamline Employee Attestations and Certifications

Financial services firms are among the most heavily regulated organizations worldwide. From the FCA...

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A judge's gavel is prominently displayed on a table. In the background, a person holds their head in distress while another writes on paper, suggesting a legal setting.

ASIC Action Results in $1.25 Million Fine of “Licensee for Hire” Firm

The Australian Federal Court recently issued a staggering $1.25 million penalty against a wholesale...

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MCO enables firms to meet FCA personal account dealing requirements

Infographic: Personal Account Dealing Compliance

Personal Account Dealing, when employees gain personal profit from inside information or other data...

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