Compliance & Ethics in Review 2017 [Infographic]


We have summarized all of the top compliance, risk and ethics news stories and fines from last year into a digestible infographic for you.

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2017 Compliance Roundup - The Nice List

 

“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'.

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2017 Compliance Roundup - The Naughty 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.

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4 Tips for Building a Better Pay to Play Compliance Program

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. 

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SEC's 5 most frequent Compliance Deficiencies [Infographic]


 

Earlier this year we published a blog post titled; "The SEC's 5 most Common Compliance Deficiencies". 

This list was based on an official release from the OCIE on the the most frequently identified compliance topics in deficiency letters following an examination. We have now condensed this list into an easy digestible infographic.

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