Regulatory complexity and evolving compliance expectations demand that financial firms move beyond outdated manual processes. Recognising this need, a leading Hong Kong-based investment management firm regulated by the Securities and Futures Commission (SFC) has chosen the MyComplianceOffice (MCO) Know Your Employee (KYE) suite to streamline, centralise, and improve compliance within its operations.
With a strong focus on pan-Asian investment opportunities across public and private equity markets—including technology, consumer, and healthcare sectors—the firm required a scalable solution to replace manual compliance workflows, enhance operational efficiency, and reduce risk exposure.
A Competitive Selection Process
MCO’s APAC Sales Director, Tanooja Rai, worked closely with the firm’s Chief Compliance Officer (CCO) to gain a deep understanding of their compliance challenges and regulatory obligations. The selection process was competitive, with multiple vendors in consideration. However, MCO’s centralised compliance management approach, demonstrated regional expertise, and rapid responsiveness throughout the product exploration process set it apart.
Feedback from the firm highlighted that MCO’s user-friendly interface, ability to provide faster and more detailed functional responses, and strong local presence played a pivotal role in the final decision. The firm has now licensed MCO’s suite of KYE solutions, including:
✔️ Personal Trading Manager
✔️ Attestations
✔️ Forms & Employee Policy Display
✔️ OCR Trade Capture & Direct Brokerage Feeds
MCO is proud to collaborate with the firm to enhance compliance oversight, streamline its regulatory processes, and reduce risk of compliance breaches.
If your firm is looking to modernise compliance processes, enhance regulatory oversight, and reduce risk, explore how MCO’s compliance management platform can support your needs.
