Webinar

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.

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.

Addressing Conflict of Interests (COI) that can have an outsized impact on the overall efficacy of a firm’s compliance and ethics program should be a top priority. The danger of poor COI mitigation is not only the immediate impact from individual COIs but also a broader risk to the entire program.