Tips and Technology for Managing SM&CR Compliance

With the Senior Managers and Certification Regime (SMCR) set to take effect on Dec. 9, solo-regulated financial firms in the U.K. are working hard to ensure they understand how the new rules will impact them and what they should consider when implementing new compliance measures.  

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Piper Jaffray Chooses MCO's Conduct Risk Management Platform

Here at MCO, we thrive on helping businesses – large and small – cost-effectively manage risk and automate their compliance ethics policies. And we’re thrilled to announce that Piper Jaffray has chosen MCO to help them monitor and mitigate employee personal trading, entertainment and gifts, and outside business activities.

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An Interview with Brian Fahey | MyComplianceOffice

“We believe very strongly that to lower costs in your compliance management, and lower risks, you need an integrated system with the functions working together – particularly in conflict-of-interest compliance scenarios…”

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