MyComplianceOffice Blog

The holiday season will be here before we know it! And that means gifts and entertainment activities that might be putting your organization at risk. It's important to remember that those gift and entertainment compliance concerns don't end when the holidays are over. Taking a mindful approach to both the giving and receiving of gifts and entertainment can help firms stay on top of compliance throughout the year.

The Securities & Futures Commission of Hong Kong (SFC) issues a 6-month ban on a trader for concealing a significant trade execution error and only reporting the incident to management and compliance 4 days later.

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.