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Avoid Regulatory Action with Broker-Dealer Compliance Software

In a landscape rife with legal obligations, few financial firms are as heavily regulated as broker-dealers.

From transaction monitoring and conflict management to complex customer protection rules, the resources needed to maintain compliance are significant—but not as high as the costs of being found non-compliant.

In this article, we’ll look at the regulatory landscape for broker-dealers and what firms can do to stay on top.

 

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Time To Get Serious About SMCR in the Context of Climate Change

In April 2019, the Prudential Regulation Authority (PRA) sent a letter to CEOs highlighting its expectations for Boards of PRA regulated firms to understand and manage climate-related risks. The statement expects firms to allocate responsibility and appoint a Senior Management Function ("SMF") responsible for identifying and managing climate-related risks.

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Singapore: MAS Guidelines on Individual Accountability and Conduct

The Monetary Authority of Singapore (MAS) released its guidance on the 10th September 2020 on the five high-level outcomes that financial institutions should achieve on individual accountability and conduct.

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Meet a Member of the Team - Shareena D'Souza

MCO has been growing and is recognized as a leading provider of Conduct Risk Compliance technology globally. Our employees make a significant impact on this success. In the "meet a member of the team" series, we show you the backstage of our operations, bringing you closer to our team members by featuring our people and the great work they do at MCO.

Today, we're delighted to introduce you to a member of our Implementation team based in Singapore – Shareena D'Souza.

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A Quick Guide to Compliance Management

Between security, financial, and many other regulations, compliance has become a critical business function for every large organization. Keeping track of the rapidly evolving compliance landscape requires time and resources. And actually becoming and staying compliant? That’s a whole other ball game.

 

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