MyComplianceOffice Blog

It's conference season, which means great speeches, meeting new and old friends, plenty of networking opportunities and lots of travel.

This weekend MCO staffers are exhibiting at SCCE's Compliance and Ethics Institute in Las Vegas, a long haul from our offices in New York. Next week it's Atlanta for the NSCP National Conference. How do we keep busy on flights and stay in-the-know? Podcasts. 

We're not alone. In 2017, Edison Research found that 42 million Americans listen to podcasts on a weekly basis, at an average rate of five per week

If you don't already have some go-tos, we've listed a few of ours to get you started.

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

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. 

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