MCO and Myles Blechner, Senior Director at Foreside, shared a look back at 2020 and practical guidance on managing compliance in 2021, including:
- Best practices for addressing pandemic-related risks in 2020 (and going forward)
- Effective testing programs & annual reviews
- Remediation of known risks/issues (has my firm addressed SEC/FINRA priorities?)
- Compliance checklists, training, and reporting
Taking a look back can help you move forward. Now’s the time to take a step back and consider how new or elevated risks during the year have been addressed, how controls have been established, and how compliance initiatives undertaken at year-end can set the stage for a stronger compliance program in 2021.