MyComplianceOffice Blog

We are thrilled to rank in the RegTech100 list for 2020 as “The World's Most Innovative RegTech Companies”. RegTech100 annually lists the world’s most innovative technology solution providers that address the challenges and opportunities of dealing with regulatory issues within financial services.

We are now very close to the 9th of December and the implementation of the SMCR extension. During our recent webinar "Five key steps towards SMCR compliance", we asked the attendees how ready their organization is for the 9th of December.

Will you be ready to comply with Regulation Best Interest on June 30, 2020? The new rules and interpretations outline requirements instructing broker-dealers and investment advisors to not put their own financial interests ahead of the best interests of retail customers when making recommendations and to address conflicts of interest.

Most people know of behavioral ethics, an area of social science that illustrates how we are not as ethical as we think we are due to different cognitive biases. The field of behavioral compliance and ethics is lesser known. It attempts to use behavioral ethics insights to create and run more effective compliance programs. In a recent post on the FCPA blog, attorney Jim Kaplan offers some ways in which you can apply behavioral compliance and ethics to your corporate compliance program. 

The annual Singapore Fintech Festival (SFF) starts next week and will gather the biggest financial institutions of the world, not to mention regulators, investors, and academia. The event will include hundreds of speakers from around the globe, discussing themes such as artificial intelligence, blockchain, cloud, and cybersecurity. This year, the main conference will also focus on climate change and sustainability.