<img src="https://ws.zoominfo.com/pixel/EK6Js72UOW761O6mLa8g" width="1" height="1" style="display: none;">

Recent Posts by Kelly-Ann McHugh

Kelly-Ann is a passionate business & technology leader in the Risk & Compliance sector. She is MyComplianceOffice Asia-Pacific director and leads the business growth in the region.
Find me on:

Lesson from Hong Kong FinTech Week

After a successful week, the Hong Kong FinTech Week 2020 came to an end on Friday, Nov 6. The three-day main conference featured debates and panel sessions covering all aspects of FinTech and RegTech. In partnership with Enterprise Ireland, MCO attended the event with other 1.2 million viewers and several exhibitors.

Read More

Hong Kong SFC enforces Employee dealing non-compliance

The Hong Kong Securities regulator - The Securities and Futures Commission (SFC) has suspended the licence of a former licensed representative of Mason Securities Limited (MSL), previously known as GuocoCapital Limited, for misconduct, for 12 months from 28 October 2020 for failing to obtain approval to maintain a securities trading account with an external brokerage, and trading on that account without permission, approval and therefore breaching Mason Securities Personal Account Dealing policy. You can read more on that here.

Read More

Singapore: MAS Guidelines on Individual Accountability and Conduct

The Monetary Authority of Singapore (MAS) released its guidance on the 10th September 2020 on the five high-level outcomes that financial institutions should achieve on individual accountability and conduct.

Read More

SAFAA Conference, is Technology a Friend or Foe?

Last week MCO participated in the Stockbrokers and Financial Advisers Annual Conference, a virtual event in 2020 due to COVID-19.

We set out to discuss how to manage emerging risks such as cyber security, social engineering and to deliver a successful business. The level of scrutiny as to how advice businesses manage these risks is increasing dramatically. How do you keep on top of the demands?

Read More

Conflicts of Interest Example & Cases in Financial Services

Companies in financial services have an elevated risk of encountering conflicts of interest, due largely to the influence and connections that come with the territory. This article will tell you how to identify and manage conflicts as they arise.

Read More