FINRA Guidance on the Supervision of Independent Contractors Many of the firms that I work with, both large and small, work with representatives that are... READ MORE
2020: A Great Year of Webinars 2020 was a different year, but some things never change. MCO once again hosted several webinars to... READ MORE
Compliance Predictions and Pressing Questions for 2021 During the webinar A Compliance Officer’s Crystal Ball – One Practitioner’s Predictions for 2021,... READ MORE
MCO Recognized for Shaping the Future of Compliance MCO (MyCompliaceOffice), the leading provider of automation for the management of compliance and... READ MORE
Hong Kong SFC enforces Employee dealing non-compliance The Hong Kong Securities regulator - The Securities and Futures Commission (SFC) has suspended the... READ MORE
Reasons to Automate Compliance Why companies are investing in compliance automation in the first place? The automation... READ MORE
Pay-to-Play Compliance Key in Record Breaking Election Cycle The Federal Election Commission (FEC) recently released their Statistical Summary of 18-Month... READ MORE
ESMA Publishes MAR Review Report On September 23rd, the European Securities and Markets Authority (ESMA) published a set of outcomes... READ MORE
Control Room Rules & Regulations With the increased challenges for financial Control Rooms, global regulators continue to pressure... READ MORE
