Look Back to Move Forward: Practical Guidance for Compliance in 2021

Taking a look back can help you move forward. Now’s the time to take a step back and consider how new or elevated risks during the year have been addressed, how controls have been established, and how compliance initiatives undertaken at year-end can set the stage for a stronger compliance program in 2021.

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A Compliance Officer's Crystal Ball: Compliance Predictions for 2021

As a compliance officer, regulatory counsel, risk manager or auditor, what keeps you up at night? Where do you need to focus your time and energy to close out the year strong and position yourself for success in 2021?

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FCA Compliance to the Market Abuse Regulation

MCO has partnered with CeFPro to deliver a complimentary Webinar to discuss FCA compliance to Market Abuse Regulation: Identifying conflicts to prevent market abuse.

The Market Abuse Regulation states that firms must take all appropriate steps to identify and prevent or manage conflicts of interest between the firm’s employees, managers, and clients. The regulation was created to make financial markets safer and transparent and further maintain market integrity, increase investor protection and encourage global cooperation.

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MAS Conduct Guidelines in Singapore with Thomson Reuters

The Monetary Authority of Singapore (“MAS”) recently updated its guidelines focusing on five high-level outcomes that financial institutions should achieve on individual accountability and conduct. The guidelines wants financial institutions to promote ethical behaviour, responsible risk-taking, accountability of senior managers and reinforcement of good conduct among staff and business.

Understanding the new the MAS guidelines is primordial for firms and senior managers to ensure accountability, improve ethical standards and governance to better protect consumers.

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Pay-to-Play Compliance: The 2020 Election and Beyond

The months leading up to the 2020 U.S. Presidential election have seen unprecedented political donations on both sides of the aisle.

 Pay-to-play compliance is a concern for firms of all sizes. And it won’t go away after the election. Restrictions on gifts and entertainment and potential lobbyist registration requirements also remain areas of concern. Firms need to have policies and procedures in place to identify potential conflicts of interest—and avoid the fines and reputational damage that those conflicts can bring.

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