FINRA Fines Q3 2018 - 5 Findings

Here at MCO we keep a close eye on the activities of regulators. Read the highlights; FINRA fines in Q3 2018 - 5 Findings.

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Cryptocurrency Employee Trading, Investments and Activities

The following is a guest post from Elin Cherry, Founder and CEO of Elinphant LLC and the October 17th MCO Webinar presenter and co-host. 

Sign up now for a presentation and live Q&A with Elin on the Webinar, Cryptocurrency & ICO Compliance: How to Detect and Manage Conflicts of Interest 

Employees are participating in the cryptocurrency marketplace and firms need to address and supplement their employee trading, private transaction and outside business activity policies expediently.

Although cryptocurrency and the cryptocurrency marketplace are novel, most of the activity is covered within current employee trading, private investments and outside business interests policies. However, many firms have not communicated the application of these policies to cryptocurrency activity.

How can you apply current employee policies to cryptocurrency? 

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6 Myths about Conduct Risk

Conduct risk is a form of business risk that refers to potential misconduct of individuals associated with a firm, including senior executives, staffers, vendors, customers, agents and other third-parties affiliated with the firm. Conduct risk poses an existential threat to companies across industries and jurisdictions. 

Today's post debunks six common myths about conduct risk. 

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FINRA Consolidated Registration Rules Go into Effect

The Securities and Exchange Commission (SEC) Regulatory Notice 17-30 became effective on October 1, 2018, impacting FINRA qualification and registration rules. 

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US Tax Implications of Cross-Border Cryptocurrency Bribes

Today's blog author is an attorney and crypto regulation expert - Selva Ozelli. Selva previously wrote a whitepaper for us, 'Regulations Fall on Bitcoin Around the World.'

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