With this you can more easily manage employee policies like personal trades, gifts and hospitality, political contributions, outside business activities and other employee disclosures..
Learn more about a solution that can help you automate the ongoing data capture as well as due diligence activities. The perfect choice for those looking for ease of use and quick implementation.
An easy way to mitigate risk that can originate from breaches in market manipulation, insider tradng, suitability, conflicts of interestm fund mandate and investment banking activities.
Conflicts of interest are a particularly important challenge for large and complex financial institutions, which can have affiliations that lead to a host of potential conflicts of interest. MCO provides an effective solution to review investment banking deals and review them for potential conflict of interests.
Interested in learning about the top SEC and FINRA enforcement issues from 2017 and what’s on the horizon in 2018?
Please join attorneys Brian Rubin and Adam Pollet from Eversheds Sutherland (US) LLP for a MyComplianceOffice webinar on July 25th from 12:00-1:00 p.m., where they will discuss: