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Compliance Solutions

MCO is a global leader in the delivery of integrated compliance and risk solutions
including Employee Code of Conduct ,Trade Surveillance and Third Party Vendor Risk Management

Employee Code of Conduct

With this you can more easily manage employee policies like personal trades, gifts and hospitality, political contributions, outside business activities and other employee disclosures..

Third Party Vendor Risk

Learn more about a solution that can help you automate the ongoing data capture as well as due diligence activities. The perfect choice for those looking for ease of use and quick implementation.

Trade Surveillance

An easy way to mitigate risk that can originate from breaches in market manipulation, insider tradng, suitability, conflicts of interestm fund mandate and investment banking activities.

Do you effectively manage potential conflicts in your investment banking deals?

 Conflicts of interest are a particularly important challenge for large and complex financial institutions, which can have affiliations that lead to a host of potential conflicts of interest.  MCO provides an effective solution to review investment banking deals and review them for potential conflict of interests.

 Click here to learn more.

 

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SEC & FINRA 2018 Mid-Year Regulatory Update.

Interested in learning about the top SEC and FINRA enforcement issues and what’s on the horizon for the rest of the year?

Please join attorneys Brian Rubin and Adam Pollet from Eversheds Sutherland (US) LLP for a MyComplianceOffice webinar on July 25th from 12:00-1:00 p.m., where they will discuss:

  • Top SEC & FINRA enforcement issues
  • What the regulators are focusing on in 2018

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