Recent Posts by MCO Webinar Team

 

Beyond the Headlines: Crypto and Digital Asset Compliance

In a recent interview with Yahoo Finance, United States Securities and Exchange Commission Chair Gary Gensler said that he has one goal for crypto regulation in 2023 – “making crypto exchanges and lending platforms come into compliance.”

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SEC Examination Priorities and the APAC Impact in 2023 - Webinar

Each year, the SEC sets out a number of key priorities for their regulated entities.

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Strategies for Gifts and Entertainment Compliance

A recent survey by Coresight Research estimate that the corporate gift giving market in the U.S will reach $258 billion in 2022.  That's a lot of potential gifts sent to employees, customers and vendors - and a lot of potential opportunity for conduct risk.

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Maximizing Attestations: A View from the C-Suite

Compliance attestations provide confirmation that employees have received current information and training on the compliance policies and procedures that apply to them, they have read and understood them, and they are conforming to the required standards in their work. 

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A Better Way to Track Registrations and Licenses

Does your firm manage employee credentials using a spreadsheet? Does your compliance team spend hours and hours in the fourth quarter of every year preparing for annual FINRA renewals? There's a better way that eliminates the compliance risk and time sink that goes hand-in-hand with manual processes and reduces the chance of error and regulatory censure. 

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