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MCO Announces Close of Schwab Compliance Technologies Acquisition

New York, May 2, 2022: MCO (MyComplianceOffice), a global provider of conduct risk and compliance technology, today announced that the company has finalized its acquisition of Schwab Compliance Technologies (SCT), a solution that automates monitoring employee trading activity and administering a firm's Code of Ethics. The closing of the deal marks a meaningful step toward the company’s expansion and position as a leading authority on conduct risk and compliance technology

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Avoid Regulatory Action with Broker-Dealer Compliance Software

In a landscape rife with legal obligations, few financial firms are as heavily regulated as broker-dealers.

From transaction monitoring and conflict management to complex customer protection rules, the resources needed to maintain compliance are significant—but not as high as the costs of being found non-compliant.

In this article, we’ll look at the regulatory landscape for broker-dealers and what firms can do to stay on top.

 

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Survey Says Nearly Half of Brokers Aren't Aware of SMCR

According to a new survey by the British Insurance firm Ecclesiastical, nearly half of brokers aren’t even aware of the impending Senior Management and Certification Regime (SMCR), which takes effect on December 9, 2019. This is despite the fact that the SMCR has been extended to all insurance intermediaries and solo-regulated firms. 

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