MyComplianceOffice Blog

Blog Categories

A Tale of Just Right Compliance Technology

Singapore Regulation 2024: MAS Anti-Money Laundering Updates

Benchmark Your Trade and Communications Surveillance Program

Compliance Software for the Financial Control Room

MAS Bill Set to Enhance Investigative and Supervisory Powers

Navigating Pay-To-Play Compliance in an Election Year and Beyond

MNPI Remains a High Risk Area for Compliance

Australia Steps Up Foreign Bribery Prevention with New CFB Bill

Preparing for Markets in Crypto-Assets Regulation (MiCA)

How Technology Enables Best Practices in Policy & Procedure Management

SFC News: 2024-2026 Strategic Priorities and Takeaways for Your Firm

Fit for Purpose – Consumer Duty Compliance Remains a FCA Priority

The Financial Accountability Regime (FAR Bill) Draws Closer

Top Ten Reasons to Love MyComplianceOffice

Get the Message! Preserve eComms or Face Steep Regulatory Consequences

FINRA Priorities Include Conflicts of Interest and Communications

SEC Enforcement and Priorities Set Compliance Expectations for 2024

Mitigate Risk During the Gift-Giving Season and Beyond

Tech and AI in Finance: Singapore’s Focus (SFF2023 Takeaways)

Insider List and MNPI Management under MAR

MCO Best Conduct Risk Solution at the RegTech Insight Awards USA 2023

MCO Wins Financial Services and Fintech Exporter of the Year

Now's the time to plan for FINRA Renewals

MAS Enforcement Reports 39 Convictions and $20.8m in Penalties

MAS Revises FAA and SFA Competency Requirements

A Lack of Compliance Evidence Means it Didn’t Really Happen

The Intersection of Culture and Compliance

Financial Accountability Regime (FAR Bill) Passes Both Houses

The Right Indicators Bring Clarity to Assuring Compliance Oversight

Blackout Periods and Insider Trading Risk for Listed Companies

Mitigate Employee Insider Risk With Compliance Technology

HK SFC to Bolster Enforcement of Cross-Border Insider Trading

Data Mapping Effectively Deconstructs Compliance Obligations

4 Conflicts of Interest Examples (and Solutions) Across APAC

SEC Priorities Focus on MNPI, Insider Trading and Crypto

A Spotlight on SGX-Listed Companies’ Regulatory Compliance

Optimal OBA Compliance Goes Beyond Just Disclosures

The Top 5 Compliance Executives’ Priorities in 2023 (APAC Edition)

Take a Forward-Looking View to Manage Conflicts of Interest

MAS Guidelines: Expectations of FIs' Advisory Activities for IPOs

Summary: SFC Consultation Conclusions for VA Trading Platforms

Compliance Pitfalls for Newly Registered Investment Advisers

Regulatory Compliance Rising Rapidly in Malaysia (Latest Guidance)

Insider Trading in the Lead-Up to the Banking Crisis

Too Many Firms Still Track Employee Registration Compliance Manually

Europe & UK Leading Crypto Regulation

Hong Kong ICAC Releases Anti-Corruption Guide for Banking Industry

Regulatory Expectations Demand the Latest SaaS Compliance Technology

Change is the Theme at SIFMA Compliance & Law 2023

Addressing Compliance Within Financial Firms’ CPD Requirements

Hong Kong SFC to Regulate Virtual Asset Trading Platforms

How to Manage Connected Persons and Personal Relationships

Adopted SEC Rule 10b5-1 Amendments Increase MNPI Scrutiny

Authority, Ability & Responsibility: Keys to CCO Liability

MAS Bans Payment for Order Flow (PFOF) from 1 April 2023

When Does Personal Trading Become Insider Trading in Finance Firms?

MAS RegTech Grant Applications to Close on 31 March

How to Reduce Insider Trading Risk and Stay Out of the Headlines

FCA's Dear CEO Letter Puts Focus on Personal Trading and Market Abuse

2023 FINRA Exam Report Includes New Financial Crime Risks

Investment in Proven Fintech and RegTech Pays Off

On-Demand Webinars on the Most Essential Compliance Topics

Small Compliance Team Priorities for 2023: KYE in the Spotlight

Record SEC Enforcement in 2022 Brings Steep Penalties for Misconduct

Your SEC Examination Priorities Guide + the APAC Impact in 2023

MCO Wins the Scale Up Award at the Deloitte Technology Fast 50 Ireland

Former Tesla Australia Director Pleads Guilty to Insider Trading

Enhancing Regulatory Compliance for Your Small Business in 2023

Outside Business Activity: Putting the Spotlight on Moonlighting

PRA’s Dear CEO Letter Puts the Focus on Governance and Control

Competing Priorities Drive the Need for Compliance Technology

SEC Bulletin Highlights Need for Effective Conflicts Management

The Evolution of Regulatory Compliance and Risk Management

SEC Announces Spring 2022 Regulatory Agenda

Reducing Compliance Risk in Workplaces Across Southeast Asia

RegTech Adoption is the Way Forward for Better Compliance

FCA's 2022-2025 Strategy Focuses on Data, Conduct Risk and Outcomes

Technology Gives Firms a Better Handle on Managing Digital Asset Risk

Regulatory Pressures Drive Need for Compliance Talent

Essential Guide to SMCR for FCA-Regulated Firms

FCA Fines Asset Management Firm and Employee for Conflicts of Interest

SEC Focuses on MNPI and Code of Ethics Issues

MCO Announces Close of Schwab Compliance Technologies Acquisition

The Compliance Challenges Firms Need to Tackle

The SEC and the “RIC-ification” of Private Funds

What’s the Latest in Books and Records Compliance?

The Importance of Compliance Management

SEC Examination Issues for Private Fund Advisers

How Small Firms Can Benefit From Compliance Technology

Crypto Regulations in Singapore and Recent Enforcements

Failure to Disclose Relationship Leads to a Public Crisis

Hong Kong’s Regulator Fines Asian Bank Over Stock Trading Misconduct

Integrated Data Helps Manage Conduct Risk

What’s Changed for Large Firms Around Conduct Oversight?

Insider Trading, Crypto and SPACs top the SEC’s List of Concerns

Insider Trading Leads to Criminal and Civil Penalties

Now’s the Time to Wrap Up Gifts & Entertainment Policies

SPACs, IPOs and Conduct Risk

Scared That Your Employees Have Two Jobs?

Insider Trading Scandal Shocks Germany's Asset Management Community

An Overview of Conduct, Culture and Accountability Regimes

Individuals Charged in Relation to Insider Trading in Singapore

There’s No Doubt - Private Fund Regulation is Here to Stay

How To Meet FCA Reporting Requirements (and Avoid Regulatory Action)

Start to Prepare for the Senior Executive Accountability Regime (SEAR)

FCA Business Plan 2021/22 Focuses on ESG Risks and Market Abuse

Cost of Compliance 2021 – Challenges and Change

MCO Honored on List of Top 100 Financial Technology Companies of 2021

Facing compliance system migration? Investigate the options!

Mastering Employees Certifications and Attestations

SEC’s Annual Agenda Includes Focus on ESG Disclosures

Meet a Member of the Team - Conor Sexton

Compliance Checklist for Registered Investment Advisers

Overview of FCA Principles for Business

Avoid Regulatory Action with Broker-Dealer Compliance Software

Time To Get Serious About SMCR in the Context of Climate Change

Singapore: MAS Guidelines on Individual Accountability and Conduct

Meet a Member of the Team - Shareena D'Souza

A Quick Guide to Compliance Management

Automated Compliance Reporting is a CCO’s Insurance Policy

Compliance Podcasts You Should Listen To

The Basics of Conduct Risk

MCO Named Among 50 Leading Companies of the Year

Capturing Employee Personal Trades

Key Factors Shaping Market Abuse Regulations

Using Technology to Build a Culture of Compliance

Constraints and Pressures Facing Compliance Today

MCO Recognised Among Top 50 Fintech Leaders

RegTech Rescuing Financial Services

Financial Services Firms Suspend or Review Political Contributions

ESMA Reports Increase in EU Market Abuse Penalties

Reduce Compliance Risk by Doing More With Less

FINRA Guidance on the Supervision of Independent Contractors

2020: A Great Year of Webinars

Compliance Predictions and Pressing Questions for 2021

Less is More for Compliance in 2021

MCO Recognized for Shaping the Future of Compliance

Lessons from Top 10 FCPA Fines

Compliance in Russia | Compliance Radio interviews Brian Fahey

Lesson from Hong Kong FinTech Week

Thoughts on the 2020 FINRA Small Firms Conference

Hong Kong SFC enforces Employee dealing non-compliance

What Spooked Compliance Officers this year

Reasons to Automate Compliance

FCA publishes speech on MAR

Pay-to-Play Compliance Key in Record Breaking Election Cycle

ESMA Publishes MAR Review Report

Control Room Rules & Regulations

Swedbank under investigation for Market Abuse

FCA: Market Conduct and Transaction Reporting Issues

Outdated Compliance Tech is Causing Nightmares

SAFAA Conference, is Technology a Friend or Foe?

Using Technology to Transform Compliance

The Right Story Builds a Strong Business Technology Case

Compliance Considerations for SEC registered firms

Technology Helps Firms with Remote Work Compliance

Conflicts of Interest Examples & Cases in Financial Services

Meet a Member of the Team - Jasmine Northrop

FCA Consults on Extending SMCR Deadlines

Compliance in the second half of 2020

FASEA Requirements & Code of Ethics for Financial Advisers

DOJ Demonstrates Heightened Focus on Third-Party Risk

FCA seeks to fine and ban CEO for market abuse

DOJ Guidance on Evaluation of Corporate Compliance

Avoiding Software Purchase Remorse

Procurement Is Not Your Enemy

SEC Finds Deficiencies in Disclosing Conflicts of Interest and MNPI

Regulatory Focus on Conduct and Culture

RegTech trends and insights to watch with Brian Fahey, MCO

Risk and Compliance Topical Webinars

Compliance Officers New Responsibilities

Remote working increases market abuse risks

Meet a Member of the Team - Colleen Umathum

The Impact of Employee Misconduct

FCA Priorities for the Year Ahead

Podcast with our Director Asia-Pacific, Kelly-Ann McHugh

RegTech Insight Interviews Brian Fahey, MCO CEO

Infographic: Personal Account Dealing Compliance

5 key steps to prepare for the FCA’s requirements on PAD

Company spends $25 million on Gifts

Compliance during COVID-19 - Regulatory Update

Regulators Expectations of Institutional Governance

Compliance: Is your firm doing the right thing?

FCA’s Expectations on Financial Resilience

The Future of Compliance

How Compliance is Reacting to COVID-19 Crisis

SEC Will Focus on Good Faith Efforts in Reg BI Enforcement

SEC Holds Firm to the Reg BI Deadline of June 30, 2020

Criminal Sanctions for Market Abuse in the EU

SEC on COVID19 and Market Integrity

Understanding the Regulatory Impact of COVID-19

Digital Transformation Makes Compliance Easier

The FCA's Capabilities to Detect Market Abuse

A Closer Look at Gifts and Entertainment Compliance

Taking the Next Steps With Your Compliance Solution

Banks to seek external software solutions to reduce tech-debt

Women’s journey to the compliance world

We've Been Shortlisted! Best Vendor Solution for Conduct Risk

Global Expansion is Challenging Compliance

10 Reasons to Fall in Love with Compliance