On June 18, 2015, the SEC released its first settlements with municipal securities underwriters on their continuing disclosure obligations under SEC rule 15c2-12, also known as “MCDC”. These come after firms self-reported violations of compliance with the rule last fall. It is estimated that hundreds of additional settlements may be in process.
Join us on a webinar hosted by The National Society of Compliance Professionals with Oyster Consulting experts Richard Chase,Lance Whittemore and Bruce Fenske as they explain:
The background of the MCDC initiative
Who is required to comply
What’s been done so far
What may be coming for the rest of the industry
Creating effective processes to keep your firm in compliance
Oyster’s consultants have acted as independent consultants for MCDC settlements and will share their practical advice to help your firm achieve best practices.