The MyComplianceOffice platform provides a unified approach to Conduct Risk. Identify and mitigate potential conflicts from the activities of employees, third parties and the company.
Learn more about the most current regulatory issues and their impact on organizations like yours.
Download the slides from MyComplianceOffice's May webinar, 'Spotlight on 2016 SEC & FINRA Cases and Trends for 2017'
In this webinar co-hosted with Brian Rubin and Adam Pollet of Eversheds Sutherland we look back at the stats and key cases from 2016 for SEC and FINRA and look into the emerging trends for 2017