MyComplianceOffice Blog

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.

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.

From MCO's August Webinar with NorthPoint Compliance

Dodd Frank, Volcker, MiFID, Sponsor rules, Market Abuse Directives….and the list goes on.  All very complicated and no doubt taking up a lot of your time.  But the one storm on the horizon that really should be keeping you up at night?  Yep, it`s that regulatory staple, Supervision.