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.
The DOJ has served notice it will require clear answers to these three questions during future misconduct investigations. Your answers must demonstrate your organization’s compliance program is having a definite impact. In other words, the DOJ expects results.
“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.
On Wednesday the Financial Industry Regulatory Authority (FINRA) released its annual examinations letter. We at MCO have summarized our top three takeaways.
