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Conduct, Compliance and Ethics in Capital Markets

During this interactive discussion MCO CEO Brian Fahey joins executives from FINRA, Northern Trust Corporation, and Coalition Greenwich to  discuss:

  • The biggest challenges to implementing a predictive surveillance program
  • The impact of ESG on measuring integrity and firm compliance
  • Drivers for upgrading compliance and surveillance infrastructure to help understand the ROI


  • Brian Fahey, CEO, MyComplianceOffice
  • Kevin McPartland, Head of Research, Market Structure & Technology, Coalition Greenwich
  • Stacey Bolton, SVP & Chief Risk Officer, Northern Trust Corporation
  • Steven Polansky, Senior Director Member Supervision, FINRA


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