Too Many Firms Still Track Employee Registration Compliance Manually

Tracking employee compliance credentials including authorizations, registrations and licensing is a complex endeavor. Yet during the recent webinar A Better Way to Track Licensing and Registrations, 58% of people polled reported that they are still using manual solutions like spreadsheets to track compliance with employee certification regulations.

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Regulatory Pressures Drive Need for Compliance Talent

Much has been written about the Great Resignation of 2021 and 2022. In addition, the past few years have seen workplace norms disrupted by COVID and working remote. What’s been the impact of a shifting employment landscape on compliance in the financial services industry?

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Meet a Member of the Team - Conor Sexton

MCO is a growing SaaS-based software company, and our employees make a significant impact on this success. We are pleased to show you the backstage of our operations, bringing you closer to our team members. The “meet a member of the team” series remove the attention from our products and services to feature our people.

This month, we’re delighted to introduce you to a member of our Front-End team at our Dublin office, Conor Sexton.

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Meet a Member of the Team - Shareena D'Souza

MCO has been growing and is recognized as a leading provider of Conduct Risk Compliance technology globally. Our employees make a significant impact on this success. In the "meet a member of the team" series, we show you the backstage of our operations, bringing you closer to our team members by featuring our people and the great work they do at MCO.

Today, we're delighted to introduce you to a member of our Implementation team based in Singapore – Shareena D'Souza.

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Capturing Employee Personal Trades

Automating the monitoring of personal trade accounts requires the capture of trade data in an electronic format. Data capture is an important topic and one that is not always fully understood. Typically, firms begin data capture by acquiring direct feeds from the major brokerage firms. This can resolve 60-70% of trade capture needs for US accounts. A good start, but significant challenges remain; the 30-40% of US accounts that are not captured as well as the non-US trading activity, typically 80-90%.

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