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!
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.
As the United Arab Emirates (UAE) and the Kingdom of Saudi Arabia (KSA) continue developing as global hubs in the financial services industry, the need for a robust code of ethics and compliance frameworks cannot be overstated.
As part of the audit process, regulators expect you’ll have quick and easy access to your compliance data. How promptly and thoroughly you can provide the information that auditors request sets the stage for how the regulators will perceive your entire compliance program.
The US Securities and Exchange Commission has published its rundown of Examination Priorities for Fiscal Year 2025. The 2025 Exam priorities provide an outline of the questions and proof points that regulators will likely be evaluating during examinations. Reviewing the priorities will allow CCOs to assess their compliance programs to ensure that they have the required policies, procedures and controls in place—and that there are systems in place to easily evidence compliance.
Firms should also take a look at 2024's Enforcement Results for additional insight into areas of SEC focus.
