Minimum Standards for Compliance Technology

The benefits and affordability of current compliance technology are well known to regulators. Recent SEC guidance and risk alerts have consistently pointed to a lack of adequate technology as a deficiency in compliance programs. Could minimum technology standards for compliance be far behind?

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Compliance Budgeting: Reducing Risk While Doing More with Less

Whether you are an emerging private fund, FinTech, or a large global investment bank/asset manager your regulatory and compliance burdens continue to increase, while the pressure to reduce headcount and limit costs also grows.

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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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