2018 Compliance Roundup - The Nice List

 

“He’s making a list, checking it twice. . .”

We believe it is a great time of year to recognize fellow professionals for their outstanding contributions to the field of compliance and risk in 2018.

Yesterday, we looked at some of the biggest fines of the year, or "The Naughty List". Today we look at some of the more positive events of the year, "The Nice List".

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2017 Compliance Roundup - The Nice List

 

“He’s making a list, checking it twice. . .”

Even if you don’t believe in Santa, we at MCO think it is a great time of year to recognize fellow professionals for their outstanding contributions to the field of compliance and risk in 2017.

Yesterday, we looked at some of the biggest fines of the year, or  'The Naughty List'. Today we look at some of the more positive events of the year, 'The Nice List'.

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SEC Hot Button Issues Addressed at Webinar by MCO

By Charles Lerner, Principal of Fiduciary Compliance Associates and John Roth, CCO of Venor Capital Management

On April 19, 2016, the SEC conducted a Compliance Outreach Program for investment adviser and investment company senior officers.  The conference was broadcast live and will be available on the SEC’s website.

We think the sessions on private funds advisers, questions and answers for advisers with $1 billion or less in regulatory AUM, and hot topics each provided helpful insights into the SEC’s thinking. While the SEC staff and some of the other presenters discussed issues of interest to the SEC, we believe that CCOs would benefit from additional practical advice on how to handle the issues addressed.

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Chief Compliance Officer fined by SEC

A CCO was fined by the SEC for not adhering to guidelines outlined by Rule 30(a) which requires client information to be protected against unauthorized access.

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