The MyComplianceOffice platform provides a unified approach to Conduct Risk. Identify and mitigate potential conflicts from the activities of employees, third parties and the company.
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Learn more about the most current regulatory issues and their impact on organizations like yours.
Financial Industry Regulatory Authority (FINRA) has fined Barclays Capital Inc. $1.3 million for systemic Order Audit Trail System (OATS) reporting violations and related supervisory failures.