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Authority, Ability & Responsibility: Keys to CCO Liability

If you’re in Compliance, you know the crucial role that the Chief Compliance Officer plays in helping to maintain integrity in the securities industry and preventing violations. CCOs’ jobs are challenging enough given the wide range of obstacles they face day to day without having to routinely worry about whether simply carrying out their responsibilities will subject them to personal liability.

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2021 Brings Record Growth and Recognition for MyComplianceOffice

Press release originally published at BusinessWire.com

MCO (MyComplianceOffice) announces a year of record growth in both revenue and new hires of more than 40%, while continuing to achieve an exceptional customer retention rate.

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MyComplianceOffice Expands Innovative Approach to Compliance with the Acquisition of Governor Software

Press release originally published at BusinessWire.com

MyComplianceOffice Ltd. (“MCO”), a company focused on creating valued compliance solutions for financial services, is pleased to announce the acquisition of Governor Software, a leading technology in compliance governance and oversight solutions.

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An Overview of Conduct, Culture and Accountability Regimes

The ASIFMA Compliance Week focused on various relevant topics for Compliance professionals, from culture and accountability to technology and innovation. Industry experts shared their insights during four days of sessions on regulatory enforcement trends, conduct, culture, the future of compliance, and market abuse.

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MNPI Remains a High Risk Area for Compliance

Failing to adequately manage Material Non-Public Information (MNPI) remains a high risk area for compliance, as evidenced by recent actions in the U.S. and the U.K. A private equity firm paid $1 million to settle SEC charges for failing to implement effective Insider Trading compliance policies. The FCA published a Decision Notice fining a former CEO £658,900 for market abuse and banning him from future roles linked to regulated activity.

To avoid hefty fines and actions, firms must have comprehensive and actionable policies and procedures around the management of MNPI and insider lists to minimize risk.

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