Recent Posts by MCO Webinar Team

 

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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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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SEC Expectations and Compliance Best Practices

The SEC recently published a Risk Alert that provides an overview of certain compliance issues observed by the Office of Compliance Inspections and Examinations. The alert was created on the top of examinations of registered investment advisers, private equity and hedge fund manager examinations. 

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The Road to a Successful Compliance Technology Purchase

Procuring an integrated conduct risk and compliance technology solution requires compliance officers to examine and manage several changes.

Firms are expected to maximize profits and reduce costs when choosing or changing vendors. A compliance technology solution can help firms to manage conduct risk, monitor conflicts of interest, comply with the fast-paced regulatory environment and reduce reputational risks. Besides, the benefits of saving costs and time if selecting the right solution.

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