Recent Posts by MCO Webinar Team

 

Strategies for Gifts and Entertainment Compliance

A 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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eComms Compliance: Stay Ahead of the Game

With the recent spree of SEC enforcement around the management and preservation of eComms—to the tune of more than $1.5 billion dollars—now is the time for firms to be thinking about best practices for managing digital communications.

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Beyond Wishful Thinking: Create a Thriving Culture of Compliance

There’s no question that fostering an ethical compliance culture is a regulatory imperative. Regulators and compliance experts have been talking about it for years. And while terms like culture of compliance and tone from the top are often used in discussion, maybe even to the point of cliché, it remains a real challenge for many firms to apply the concepts in a practical way.

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How to Embed the New Individual Accountability Framework Effectively

In July 2018, the Central Bank of Ireland (CBI) proposed an Individual Accountability Framework (IAF), which includes the Senior Executive Accountability Regime (SEAR) to be modelled on the UK's Senior Managers and Certification Regime (SMCR).     

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Market Abuse Regulations - A Look Back and Ahead

Regulators around the world are concerned with the risk of market abuse and market manipulation.

Market Abuse Regulations, includingMAR in the UK, the EU Market Abuse Regulation and Section 204A of the Investment Advisers Act of 1940 in the US, prohibit insider dealing, unlawful disclosure of inside information, and market manipulation.   

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