SEC Finds Deficiencies in Disclosing Conflicts of Interest and MNPI

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently published the Risk Alert Observations from Examinations of Investment Advisers Managing Private Funds. 

 

The Risk Alert covers three general areas of deficiencies that the OCIE has identified in examinations of private fund advisers: conflicts of interest, fees and expenses, and policies and procedures relating to material non-public information (MNPI). The alert outlines concerns and compliance issues observed during examinations of registered investment advisers that manage private equity funds or hedge funds—and serves notice that the SEC will continue to put a high priority on customer well-being.

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Podcast with our Director Asia-Pacific, Kelly-Ann McHugh

We are delighted to announce that our director Asia-Pacific, Kelly-Ann McHugh has joined the Risky Women Community and will be hosting a few podcasts on Risky Women Radio.

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MCO Wins RegTech Insight Award for Managing Conduct Risk

May 20, 2020, New York – MCO (MyComplianceOffice) announced today that its integrated compliance solution, MyComplianceOffice, has been named the Best Vendor Solution for Managing Conduct Risk in the 2020 RegTech Insight Awards. The award recognizes both new and well-established providers who are finding innovative solutions to regulatory challenges in the global financial industry.

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MCO and Governor Software Announce Strategic Partnership

MCO announced today a strategic partnership with Governor Software Ltd. to unite the dynamic data collection and workflow capabilities of MCO’s flagship product, MyComplianceOffice, with the visual mapping of global regulations to compliance governance available in Governor Software.

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MCO Appoints Chief Revenue Officer to Support Growth

MCO, announced the expansion of its management team with the addition of a Chief Revenue Officer. Industry veteran, David Kubersky, will serve as the company’s CRO to help accelerate growth and gain market traction across the firm’s global business.  

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