MyComplianceOffice Blog

The FICC Markets Standards Board (FMSB) published the final version of a Statement of Good Practice on the issue of Conflicts of Interest in early October. The guidance is intended to give organizations practical, working level direction and examples to learn from as they determine how to prevent and mitigate conflicts of interest that arise within their enterprises. 

The Organization for Economic Cooperation and Development (OECD) Working Group on Bribery in International Transactions recently took aim at Japan’s efforts to combat bribery of foreign public officials.  

Hong Kong Fintech week is the largest event in the industry, attracting a global audience of more than ten thousand executives, entrepreneurs, investors and regulators. The event will take place from the 4^th to 7^th of November and academics, technology experts and professionals from all around the world will meet at the AsiaWorld-Expo to share their knowledge, increase professional network and learn about global trends in the industry.

Almost every sizeable company likely has an internal audit committee in place. But many organizations have now recognized the valuable role an internal compliance committee can play as well. An internal compliance committee can help institute a culture of compliance and ensure an organization’s employees understand and perform their part in addressing critical regulatory requirements.   

Employee conduct is a priority in many industries, especially in regulated businesses. Making sure you know what conduct risks are is key to running an effective compliance programme. We have listed 5 steps that you must consider in order to enhance the compliance of your business and avoid misconduct.