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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.
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Individuals Charged in Relation to Insider Trading in Singapore

The Monetary Authority of Singapore (MAS) released a press release stating that three individuals were charged for illegally communicating non-public and material information and using such information to buy shares in a company. The investigation was jointly conducted by the Monetary Authority of Singapore and the Commercial Affairs Department of the Singapore Police Force.

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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.

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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.

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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.

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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?

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