Risk and Compliance Webinars | Financial Regulators

Recent Posts by MCO Webinar Team

Maximizing Attestations: A View from the C-Suite

October 5, 2022 | By MCO Webinar Team

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.

Mid-Year Regulatory Review – What’s the Latest from the SEC and FINRA?

July 7, 2022 | By MCO Webinar Team

As we enter the third quarter of 2022 it's clear that both the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are continuing to demonstrate a steady pace of enforcement.

And there’s no indication that this steady pace will be slowing down. In fact, in recent remarks, SEC Director of the Division of Enforcement Gurbir S. Grewal noted that he’s “been asking staff to look for ways in which to push the pace of investigations since day one.”

Insider Trading, Digital Assets and MNPI: Regulatory & Compliance Risk

June 23, 2022 | By MCO Webinar Team

The U.S. Securities and Exchange Commission recently issued a risk alert warning investment advisers of common deficiencies related to their firms' ethics codes and the handling of material non-public information. According to Thomson Reuters Senior Regulatory Intelligence Expert Todd Ehert, the warning is a strong reminder that proper handling and safeguards of material non-public information (MNPI) is a core compliance responsibility for all advisers that should not be overlooked.

Better Risk and Compliance Through Holistic Oversight

April 7, 2022 | By MCO Webinar Team

In order to be effective advisors, Chief Compliance Officers must have a clear and holistic view of their organization’s risk profile. A clear and holistic view of risk helps compliance set regulatory priorities, identify gaps in policies and procedures and streamline operations.

Understanding OBAs: Compliance Insight on Outside Business Activities

March 1, 2022 | By MCO Webinar Team

Outside Business Activities are on the regulatory radar. 2021 saw FINRA issue several fines and sanctions to brokers for activities ranging from doing unreported notary work to setting up firms to fund small businesses. FINRA’s recently released 2022 Report on Examination & Risk Monitoring includes adjustments to rules for reporting and supervision of outside business activity.

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