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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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Measuring Culture and Creating a Healthy Culture of Compliance

To meet regulatory expectations firms must have a number of policy and rules in place, as well as manage conduct risk and monitor conflicts of interest effectively. In recent years, regulators have been stressing concerns on the ability of firms to manage conduct risk and highlighting that conduct is directly driven by the organization’s ethical culture.

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Managing Conduct Risk and protecting against Market Abuse

Risks might be blindingly obvious once in front of you, but they do not often occur to people beforehand. That is why is so important to understand what conduct risk means, identify the risks and drivers to protect your businesses and ensure markets remain clean.

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Maintaining Market Integrity in Today’s Regulatory Environment

In the face of the COVID-19 pandemic, protecting vulnerable consumers is a regulatory priority. Recently, the SEC has emphasized the need for maintaining market integrity and following controls and procedures. In addition, recent SEC and FINRA actions have shown that enforcing conflicts of interest remains a priority and conduct risk-based inspections will continue to advance.

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Gifts and Entertainment Compliance Survey

Gifts and entertainment compliance can be difficult to handle but they are an essential part of business relations for many companies. We all agree it helps to improve business relationships. However, gifts and entertainment can also create compliance risks such as bribery for government and politically exposed persons, inappropriate influences from vendors, violations of the policies of third parties and manipulation of laws and regulations. That's is why it is so important for the compliance team to understand and mitigate the risks. 

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