What CPOs Need to Know about the NFA's New Internal Controls Requirements

Earlier this year, the National Futures Association (NFA) put forth guidance to commodity pool operators (CPOs) on the regulator’s Compliance Rule 2-9 that took effect on April 1. The guidance (aka “the Notice”) applies to CPOs with control over customer funds. It outlines what CPOS should be doing to manage employees and how they should be supervising third parties in order to meet their obligations under the new rule focused on internal controls.  

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MyComplianceOffice 9.0 with Deal Review Manager is here!

We're excited to announce the arrival ofMyComplianceOffice 9.0, the newest release of our easy-to-use online compliance solution. In addition to many new features and updates, 9.0 contains Deal Review Manager (DRM), a new module that helps firms manage deals/opportunities and the flow of any related Material Non-Public Information (MNPI). This new module allows users to review investment banking deals, evaluate potential conflicts, define the associated restrictions, as well as capture the compliance review for auditing, regulatory and reporting needs. It can also audit the communication by the control room/compliance review team to the deal team members, including required disclosures.

At MCO, we help companies, of all sizes, address Employee Compliance with affordable, easy to use, and integrated technology. From understanding employee transactions to gifts and entertainment activities - and everything in between, MyComplianceOffice 9.0 gives you the flexibility you need for today's complex regulatory requirements. 

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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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8 things to do during the 2018 NSCP National Conference in Atlanta

Next week, members of the MyComplianceOffice team will be joining compliance practitioners, regulators, and more at the 2018 NSCP National Conference at the Omni Atlanta Hotel at CNN Center. It's been a while since we've been down South, and we're excited for the catch up with NSCP members and explore all the great things to do in Atlanta. 

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8 things to do while attending a Compliance Conference in DC

It's the time of year again when compliance practitioners, experts and regulators gather in Washington DC to network and discuss industry issues annual conferences. To make your next trip a little more fun, MyComplianceOffice (MCO) staff has put together a list of great things to do while in DC. 

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