Streamline Employee Attestations and Certifications

Financial services firms are among the most heavily regulated organizations worldwide. From the FCA to the SEC to ESMA to MAS and beyond, financial services firms are subject to a web of compliance requirements and obligations. It’s not enough to simply be compliant with these requirements—each firm has to be able to prove it.

That’s where compliance certifications and attestations come into play.

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Navigating Pay-To-Play Compliance in an Election Year and Beyond

The 2024 U.S. Presidential election is grabbing the headlines right now. However, 469 other federal elections, 13 gubernatorial elections, and countless contests at the state and local levels will be decided in November. With so many candidates and campaigns, the risk of pay-to-play and political donation rule violations, even unintentional ones, is high.

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Top Ten Reasons to Love MyComplianceOffice

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 1300+ customers across 105 countries find many reasons to love MyComplianceOffice. Here are just a few!

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4 Conflicts of Interest Examples (and Solutions) Across APAC

A conflict of interest happens when a person with multiple interests serves one to the detriment of another. For example, an individual may seek to create personally-beneficial outcomes at the expense of fairness and competition. They may engage in activities that put the confidentiality of their firms’ information at risk or put personal financial gains ahead of their firms’, clients’, or broader financial market’s interests.

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A Spotlight on SGX-Listed Companies’ Regulatory Compliance

Recent enforcements by the Monetary Authority of Singapore (MAS) highlight the need for SGX-listed companies to actively work against conflicts of interest within their organisations and maintain robust corporate compliance processes.

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