Here at MCO we keep a close eye on the activities of regulators. Read the highlights; FINRA fines in Q3 2018 - 5 Findings.
“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'.