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The Compliance Challenges Firms Need to Tackle

Conduct risk issues including employee compliance, transaction surveillance and third party risk pose significant risk to financial services firms across the globe. MCO CEO Brian Fahey sat down with Robin Amlôt of IBS Intelligence to talk about what financial institutions can do to avoid conduct risk compliance pitfalls.

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Failure to Disclose Relationship Leads to a Public Crisis

Failure to disclose connected persons and personal relationships as required by firm policies and jurisdictional regulations can lead to significant consequences for both an individual and their firm. Recent events saw two high-profile media executives resign from their jobs because they failed to disclose their relationship under the organization’s disclosure policies, not because of the nature of the relationship itself. 

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5 Reasons to Love MyComplianceOffice Software

The MyComplianceOffice platform is a cost-effective and easy-to-use solution that eases Compliance and regulatory burdens for financial services firms. The suites and modules within the platform help firms and Compliance teams to take a proactive approach to Compliance, manage conflicts of interest and conduct risk.

MCO integrated technology means that firms can have everything in one place for efficiency that doesn't take up too much time when doing everyday Compliance tasks.

We have over 500 customers in 105 countries, and they love MyComplianceOffice for several reasons. Below are some examples.

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What’s Changed for Large Firms Around Conduct Oversight?

The rise of the Omicron variant has seen many large financial services firms postponing return to office plans. With remote and hybrid employees now the norm, the pandemic has already changed the way large financial services firms work.

What has this meant for conduct oversight?

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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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