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RegTech Rescuing Financial Services

According to a 2019 survey financial institutions, especially banks, are falling behind when applying digital transformation to conduct risk management. The current situation shone a light on the lack of technology to monitor employees' activities, regulations, conflicts of interest and conduct risk across organizations. During the pandemic, risk and compliance departments were struggling to manage risks, provide reporting and comply with regulations. All that drove even more attention to the need for RegTech solutions in financial services.

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2020: A Great Year of Webinars

2020 was a different year, but some things never change. MCO once again hosted several webinars to update compliance and risk professionals on the latest regulations, enforcements and industry best practices. Here are some of the highlights of what we learned from our expert speakers in 2020.

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Using Technology to Transform Compliance

Financial institutions never faced as many challenges as during Covid-19. In order to face heightened risk and compliance challenges many firms had to recognize that innovative solutions are essential in all areas of the business.

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Compliance Considerations for SEC registered firms

The main compliance issues facing firms during COVID-19 includes the supervision of employees and business continuity amid uncertainty. The SEC Office of Compliance Inspections and Examinations (OCIE) released a risk alert on August 12 to share some observations with registered firms, investors, and the public generally.

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