Compliance Resources

Compliance Outreach

Occasionally, MSC Staff host compliance forums and other events that are open to the Chief Compliance Officers and other compliance staff of registered firms. Registered firms are encouraged to attend and ask questions, raise issues of concern, and use the information provided as self-assessment tools to strengthen compliance and improve their internal controls.

Publications, Staff Notices and Guidance

Periodically, Compliance will issue written publications that may include staff notices, guidance or other reporting of interest to registrants.

For more information: