MCO (MyComplianceOffice)

It's hard to believe that we're already at the end of the first quarter of 2025! Is preparing for the upcoming FinCEN RIA Final Rule on your list of action items for the year? Read more about getting ready for it: https://hubs.ly/Q03dRTHL0 And then if you'd like to chat about how we can help, set up some time right here: https://hubs.ly/Q03dR-yD0 #AML #KYC #RIA #AMLFinalRule #AMLCompliance #KYCCompliance #FinCEN #FinancialCrimesEnforcementNetwork

Financial regulators have placed market misconduct squarely in their sights. The HK Securities and Futures Commission (SFC) is again addressing that misconduct risk through its upcoming #MarketSounding Guidelines. In the latest MCO (MyComplianceOffice) Expert Insights series, Managing Director at 3Points Compliance Trinnie So shares timely advice about: ?? Understanding the sell side and buy side responsibilities of the incoming #regulation. ?? Working with disclosing parties outside of Hong Kong. ?? Reducing the complexity of upholding regulatory obligations through #RegTech consolidation. Watch part 1 of this 3-part series or read more in our in-depth article: https://hubs.ly/Q03ddNnJ0 And learn more about the tailored regulatory solutions and services provided by 3Points Compliance: https://hubs.ly/Q03ddSbW0

If you have a moment to please vote for us in the RegTech Insight, from A-Team Group RegTech Insight Awards Europe we'd really appreciate it. We're up for: ?? Best e-Comms Surveillance Solution ?? Most Innovative Solution for Regulatory Compliance ?? Best Cloud Solution for Regulatory Compliance ?? Best Conduct Risk Solution Voting will close at 5pm (UK) on Friday 28th March. You can vote right here! https://hubs.ly/Q03dBHtb0 #ThankYou #CommunicationsCompliance #ComplianceInnovation #ComplianceSoftware #RegulatoryCompliance #ConductRisk #RTIAwards

Can you provide evidence, evidence and more evidence that your firm and the people running it have done all of the right things in all of the right ways? Regulators and your board will expect that you can. ?? Read about maintaining a comprehensive, up-to-date suite of evidence to prove compliance across all of the areas of compliance risk right here: https://hubs.ly/Q03dr1bC0 #Compliance #Accountability #ProofofCompliance #ComplianceEvidence

Managing compliance and client interests is no easy task for a compliance officer. April and I discuss some of the major issues. Thanks April for having me. Its always a great conversation. Enjoy everyone!! https://lnkd.in/e_WifuJt

The April 30 sunset date for FINRA's WebEFT system - and the transition to APIs - is coming up fast. Is your firm ready for the change? Going with MCO's Representative Registration and Licensing solution will let firms transition to the benefits of the new FINRA API system without the development and maintenance headaches. Learn more about it: https://hubs.ly/Q03cTXY10 #FINRA #FINRAAPI #LicensingandRegistrations #EmployeeCompliance #KnowYourEmployee

Discover eComms Review, part of a Communications Surveillance suite by MCO. https://lnkd.in/eaVSvDrz

The regulatory clock is ticking! ? The Hong Kong SFC’s Market Sounding Guidelines, coming into effect on 02 May 2025, may influence expectations from other regulators across APAC in future. Firms must ensure their approach to handling sensitive information aligns with compliance best practices. Don’t miss our exclusive live webinar to help your firm understand the changes and how to stay ahead of evolving regulatory expectations. Join MCO (MyComplianceOffice) and Kroll for a comprehensive discussion on: ?? How the SFC and MAR frameworks are shaping market sounding compliance. ??? The importance of internal controls, documentation, and risk management. ?? Leveraging technology to streamline sensitive information management, employee trade surveillance, and regulatory developments. ?? APAC Session: Wed 26 March | 10:00 AM HKT/SGT | 1PM AEDT (AU) ?? US/UK Session: Wed 26 March | 10:00 AM EDT (US) | 2PM GMT (UK) ?? Register now: https://hubs.ly/Q039xgp60 #MarketSounding #MNPI #FinancialRegulation

Are you at the SIFMA C&L Society Annual Seminar? We are too! Swing by the MCO (MyComplianceOffice) booth to chat with our experts Michelle Inferri-Tauss and Scott Seibel about all things compliance. Want to set up a meeting? Schedule some time right here: https://hubs.ly/Q03d7GG20 #SIFMACL #Compliance #CCO #RegulatoryCompliance #ComplianceOversight

We're thrilled to announce that MCO (MyComplianceOffice) CEO Brian Fahey has been named Best FinTech Company CEO in the 2025 FinTech Breakthrough awards! According to Steve Johansson, Managing Director of FinTech Breakthrough, “Under Brian’s stewardship, MCO has grown from a small niche player to a global enterprise leader in the financial services software market. Driven by his singular focus, he and his team have developed a platform to deliver best-in-class compliance to their customers. We’re proud to name Brian Fahey ‘Best FinTech Company CEO.” Read all about it here: https://hubs.ly/Q03cW0CZ0 #BestCEO #Leadership #Vision #Teamwork #ComplianceBuiltBetter