MyComplianceOffice Blog

The United States Securities and Exchange Commission's Division of Examinations  Risk Alert: Observations from Examinations of Newly-Registered Advisers covers the regulator’s typical focus areas and common observations. The Alert warns newly-registered advisers to pay close attention to the firm’s compliance policies and procedures, disclosures and marketing practices – advice that well-established firms should be heeding as well.

The stability of the global banking system is a top-of-mind concern for everyone right now. And as the world worries about bank liquidity and the safety of their deposits, a handful of executives have been using access to insider information to turn staggering profits by selling off company stock.

In late 2022, the Monetary Authority of Singapore (MAS) announced a complete ban on payment for order flow (PFOF) in Singapore. The move is designed to protect investor interests by mitigating the risk of conflicts of interest arising in brokers’ best execution obligations to their customers. The PFOF ban will commence on 1 April 2023 and can affect financial firms and individuals operating under a capital markets services (CMS) licence in Singapore.

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.

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“Remember - NO TWO-TIMING - NO MOONLIGHTING”, reads a recent email from Infosys to its employees. The communication stresses the clauses of Infosys employment contracts, which restrict its employees from taking up secondary employment.