“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'.
“He’s making a list, checking it twice. . .”
As part of our end of year wrap up, we present to you Santa's Naughty List. The definitive list of individuals and corporations who will be receiving a bag of coal from Mr Claus this Christmas.
Be sure to check in tomorrow, when we post Santa's Nice List. Subscribe to stay notified.
*The data collected is from January - November 2017.
We have tracked the monthly and quarterly disciplinary actions taken by FINRA against member firms in 2017 and present to you 6 takeaways we have identified by delving into the numbers behind the released enforcement actions.
SEC and FINRA Pay-to-play can be tricky for even the most experienced of Compliance Officers. Now is a great time of year to review your compliance programs for any potential weakness.
We at MCO keep a close eye on the activities of the regulators. Here we take a look at five findings from FINRA fines in Q3 2017.
