MyComplianceOffice Blog

SEC and FINRA Pay-to-play can be tricky for even the most experienced of Compliance Officers. Now is a great time of year to review your compliance programs for any potential weakness. 

To keep you up to date with all the latest news and events, we have selected the GRC category news highlights from the past month below. Click here to Subscribe to our regular GRC news updates.

The following is a guest post from Liz Hornby, a Principal Learning Consultant in Eukleia Training's London office and the November 28th MCO Webinar presenter and co-host.

The following is a guest post from Emily Mahoney of Mason Hayes & Curran, the October MCO Webinar presenter. View all MCO Webinars here.

We at MCO keep a close eye on the activities of the regulators. Here we take a look at five findings from FINRA fines in Q3 2017.