MyComplianceOffice Blog

Failing to adequately manage Material Non-Public Information (MNPI) remains a high-risk area for compliance, as evidenced by recent actions in the United States, the United Kingdom and across the globe for issues including insufficient insider trading compliance policies, market abuse and failure to effectively manage insider information.

In honor of National Compliance Officer's Day, we wanted to share the many reasons why we love compliance officers. Read on for our top ten!

Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps every year, and the deadlines are coming up fast. Now’s the time to make sure that you have the right framework in place to manage your renewals on time, cost effectively, and efficiently—this year and moving forward.

Hong Kong’s Securities and Futures Commission (SFC) has imposed a lifetime ban on a former Associate Director of a multinational investment bank and financial services company from re-entering the city’s financial industry.