MyComplianceOffice

Get a free copy of our white paper: Why Less is More - Consolidate Compliance Technology to Reduce Cost and Risk. Having robust compliance technology greatly empowers compliance teams, helping departments manage risks much more effectively. By integrating and consolidating technology, firms can reduce the cost of delivering their compliance program...

Join MCO and Gowling WLG experts Sushil Kuner and Ian Mason, for a discussion of crucial aspects of Conduct Risk and Market Abuse mitigation. The agenda includes: FCA's 5 Conduct Risk Questions Programme What are the Conduct Risk Drivers? What should a good Conduct Risk Framework include? The impact of Covid-19 on Conduct Risk What is market abuse...

Join MCO and two members of FrontLine Compliance, Amy Lynch, Founder and President and Giselle Casella, Senior Consultant, for the on-demand webinar Maintaining Market Integrity in Today’s Regulatory Environment and delve into the areas of concern compliance professionals need to navigate to manage today’s challenging regulatory expectations.

Addressing Conflicts 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. Watch this webinar for a discussion of practical...

Join Kelly-Ann McHugh our Director, Asia-Pacific as she covers high-level highlights from the 2020 Conflicts of Interest survey - a closer look at Gifts and Entertainment Compliance. This webinar will cover the results of our COI Survey and provide an overview of Gifts and Entertainment compliance in global organizations.

Conduct risk poses an existential threat to companies across industries and jurisdictions. But what exactly is conduct risk, and how can technology help mitigate it? This whitepaper covers topics including: Background of conduct risk as top regulatory enforcement priority Three of the most common conduct risk scenarios How recent advances in...

As the June 30 deadline approaches, the SEC has indicated that they have no plans to defer Regulation Best Interest as part of their response to the COVID-19 crisis. Firms must be ready to comply even as they deal with trying to conduct business as usual in a climate of flux and uncertainty. Join Paul Murdock and Gus Macedo from MCG Consulting for...

The giving and receiving of gifts and entertainment have the possibility to be perceived as a conflict of interest. It is important that organizations review their practices and implement a code of conduct where they can improve training, compliance monitoring, attestation, reporting and manage closely the risks. This report provides a deeper look...