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Risk and Compliance White Papers

White Paper Downloads

What is Conduct Risk and How Can Technology Mitigate it?
Author: Brian Fahey, Release Date: August 2018

In this 10 page report we discuss:

  • The background of conduct risk as a top regulatory enforcement priority
  • Three of the most common conduct risk scenarios
  • How recent advances in regtech can mitigate conduct risk
Download your copy here.


How to Build a Strong Gifts, Entertainment & Hospitality Program

Author: Michael Volkov, Release Date: November 2017

In this 7 page report we discuss:

  • Building a strong gifts, meals, entertainment, travel & hospitality program (GMETH)
  • FCPA Enforcements and GMETH expenses
  • Developing clear policies
  • Global vs local policies
Download your copy here.


Regulations Fall on Bitcoin Around the World

Author: Selva Ozelli, Release Date: September 2017

In this 26 page report, our guest author discusses: 

  • What is Bitcoin?
  • Bitcoin trading
  • World Regulation of Bitcoin
  • Regulatory Actions against Bitcoin and Cryptocurrencies
Download your copy here


Senior Managers and Certification Regime - How to Prepare Your Organisation
Author: Joe Boyhan (MCO), Release Date: June 2017

In this 6 page report we discuss:

  • What is SMCR?
  • To whom does SMCR apply?
  • Brexit's implication on SMCR
  • A four step guide for preparing your organization for SMCR
Download your copy here


Gifts, Entertainment and Hospitality - A User Case Study
Author: MCO, Release Date: April 2017

In this seven page case study we'll highlight:

  • The automation of your gifts and hospitality program
  • The application of G&E policy and procedures
  • The most important elements of your G&E program
  • The importance of control in a global, tier one context

Download your copy here


The Development of Third Party Risk Management Practices

Authors: MCO & The Centre for Financial Professionals (Cefpro), Release Date: Jan 2017

In this 19 page report we'll talk you through:

  • Survey results illustrated in graphs

  • The regulators who oversee their third party programs

  • The primary decision-makers in the area of vendor risk management

  • The most challenging risks that they face in managing vendors and third parties

    Download your copy here


SEC Public Disclosures - A Guide for Investment Advisers

Authors: Nathan Greene & Patrick Sweeney (Shearman & Sterling LLP), Release date: Nov 2016

In this 9 page download we'll talk you through:

  • SMA disclosure requirements

  • Umbrella registration

  • Enhanced identification disclosure

  • performance record retention

  • Preparing for the effective date

  • Results from our poll

Download your copy here


Framework for a Third Party Risk Management Program

Author: John Kearney (MCO), Release Date: Sep 2016

In this 9 page download we'll talk you through:

  • Conducting an initial risk assessment

  • Ongoing due diligence of your third parties

  • Consolidate your existing internal third party profile

  • and more

    Download your copy here


CCO's Guide to Migrating Your Compliance Program to a SaaS Solution

Auhtor: Joe Fitzpatrick (MCO), Release Date: July 2016

In this 15 page white paper we'll talk you through step by step how to:

  • Spec a new Compliance Saas solution for your company

  • Gain buy-in within your company for your new solution

  • Implement and deploy a Saas solution to achieve your departments business goals

  • and more

    Download your copy here


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