MyComplianceOffice is an innovative, cost-effective and easy-to-use platform that streamlines compliance and regulatory processes for financial services firms. Its integrated technology and comprehensive suite of solutions lets firms take a proactive approach to compliance management and the mitigation of potential conflicts of interest and risk.
Our 1400+ customers across 105 countries find many reasons to love MyComplianceOffice. Here are just a few!
The Financial Industry Regulatory Authority (FINRA) has released its 2025 Annual Regulatory Oversight Report, providing crucial insights into the regulatory landscape for member firms. This year's report covers a broad range of topics, including some new areas of focus plus perennial areas of regulatory concern.
The European Market Abuse Regulations (MAR) have been in effect since July of 2016. Regulatory priorities in the UK and across Europe demonstrate that MAR is hardly old news, remaining a consistent focus since its inception. And regulatory enforcement shows that even eight plus years in, firms are still struggling to stay compliant with MAR regulations and the flow of insider information across their organizations.
The Hong Kong Securities and Futures Commission (SFC) has released new guidelines for market sounding (Guidelines), which will come into effect on 02 May 2025. Firms carrying out market soundings in Hong Kong need to be aware of the actions and regulatory takeaways contained within these guidelines.
Violations are a sensitive area for any firm. No one wants to deal with compliance issues. The reality for compliance officers, however, is that someday, something will happen. How you handle the issues – how you identify them, mitigate them and analyze them – reflects the strength of your compliance program.
