Understanding the Regulatory Impact of COVID-19

The COVID-19 pandemic has brought unprecedented circumstances to the financial services industry and the world around us.

Amy Lynch, CEO of FrontLine Compliance, joined the Human Capital Podcast on March 20 to provide insight on the regulatory impact of the pandemic, emergency relief measures and recent guidance  including Form ADV extensions, Fund Board meetings, Business Continuity Plans, and virtual exams.

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DOJ's New Guidance Centers on Three Important Questions

The DOJ has served notice it will require clear answers to these three questions during future misconduct investigations. Your answers must demonstrate your organizations compliance program is having a definite impact. In other words, the DOJ expects results. 

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Piper Jaffray Chooses MCO's Conduct Risk Management Platform

Here at MCO, we thrive on helping businesses – large and small – cost-effectively manage risk and automate their compliance ethics policies. And we’re thrilled to announce that Piper Jaffray has chosen MCO to help them monitor and mitigate employee personal trading, entertainment and gifts, and outside business activities.

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2018 Compliance Roundup - The Nice List

 

“He’s making a list, checking it twice. . .”

We believe it is a great time of year to recognize fellow professionals for their outstanding contributions to the field of compliance and risk in 2018.

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".

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2018 Compliance Roundup - The Naughty List

 “He’s making a list and checking it twice. . .”

As part of our end of year wrap up, we present to you The Naughty List. The definitive list of individuals and corporations who will be receiving a bag of coal this year.

Be sure to check in tomorrow, when we post The Nice List. Subscribe to stay notified.

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