MyComplianceOffice Blog

The holidays are here. The air is filled with cheer. . . and gifts and entertainment that might be putting your organization at risk. And those gift and entertainment compliance concerns don't end when the holidays are over. Taking a mindful approach to both the giving and receiving of gifts and entertainment can help firms stay on top of compliance throughout the year.

Let’s talk about remote employees working at two jobs. Have you come across this before? A recent Wall Street Journal article covers stories of employees taking advantage of working from home to make more money and double their salary. The article says there is a rise of such practices among white-collar workers in industries ranging from tech to banking to insurance.

In a landscape rife with legal obligations, few financial firms are as heavily regulated as broker-dealers.

From transaction monitoring and conflict management to complex customer protection rules, the resources needed to maintain compliance are significant—but not as high as the costs of being found non-compliant.

In this article, we’ll look at the regulatory landscape for broker-dealers and what firms can do to stay on top.

Between security, financial, and many other regulations, compliance has become a critical business function for every large organization. Keeping track of the rapidly evolving compliance landscape requires time and resources. And actually becoming and staying compliant? That’s a whole other ball game.

As most employees are now working from home, without a doubt, compliance has become more challenging and regulators expect firms to be prepared to manage the risks and challenges promptly. Compliance Week has run a survey to understand how prepared were compliance professionals and organizations for the COVID-19 pandemic.