MyComplianceOffice
MyComplianceOffice
Blog Post
  • “He’s making a list, checking it twice. . .” Even if you don’t believe in Santa, we at MCO think it is a great time of year to recognize fellow professionals for their outstanding contributions to the field of compliance and risk in 2017. Yesterday, we looked at some of the biggest fines of the year, or  'The Naughty List'. Today we look at some of the more positive events of the year, 'The N...

MyComplianceOffice
MyComplianceOffice
Blog Post
  •  “He’s making a list, checking it twice. . .” As part of our end of year wrap up, we present to you Santa's Naughty List. The definitive list of individuals and corporations who will be receiving a bag of coal from Mr Claus this Christmas. Be sure to check in tomorrow, when we post Santa's Nice List. Subscribe to stay notified.

MyComplianceOffice
MyComplianceOffice
Blog Post
  • 2017 marked the first year of Foreign Corrupt Practices Act (FCPA) enforcement under the Trump administration. In the following post, we look back at significant FCPA-related announcements, trends and enforcement actions from the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC). Showing the importance of an effective FCPA compliance program in 2017 and in the Trump e...

MyComplianceOffice
MyComplianceOffice
Blog Post
  • The following is an excerpt from a blog post by our recent webinar co-hosts, Eukleia from our webinar: 'SM&CR: 5 Lessons Learned from the Banking Sector'. The General Data Protection Regulation (GDPR) is only a few months away from becoming effective across the EU. But what do your employees know about it? How does it affect your organisation? The answer is probably: quite a lot! Any company t...

MyComplianceOffice
MyComplianceOffice
Blog Post
  • *The data collected is from January - November 2017. We have tracked the monthly and quarterly disciplinary actions taken by FINRA against member firms in 2017 and present to you 6 takeaways we have identified by delving into the numbers behind the released enforcement actions.

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