INDUSTRY: Investment Management
COMPANY SIZE: 20-50 employees
LOCATION: Singapore
The Company
A boutique, multi-asset investment firm based in Singapore, focused on enhancing its compliance culture while optimising risk management and operational efficiency.
The Challenge
The firm faced significant inefficiencies with manual compliance processes across personal account trading, attestations, gifts and entertainment, and outside business activities. Employees had to navigate multiple platforms, leading to administrative bottlenecks, rekeying errors, and missed compliance deadlines. The Compliance Team sought a streamlined, automated RegTech solution to reduce manual workload, improve accuracy, and enhance regulatory risk management.
UK Wealth Management Firm
Read Customer StoriesThe MCO Solution
The firm selected MyComplianceOffice (MCO) as its consolidated compliance management platform. MCO delivered a one-stop solution for monitoring and enforcing policies while improving employee engagement with compliance. Staff are now saving 6-8 hours per week from automated personal account trading processes alone. Rules-based alerts and automated workflows are reducing reliance on manual oversight, while MCO’s easy-to-use and intuitive interface has boosted employee adoption.
“Having support during local Asian hours is important for us. If we have queries, we don’t want to wait overnight to get a resolution from a team on the other side of the globe. MCO having a local team in Singapore is a significant benefit for us.”
- The firm’s Compliance Manager
Related Resources
Webinar - Market Sounding Compliance: Hitting the Right Regulatory Notes
Addressing Compliance Within Financial Firms’ CPD Requirements
Staying Ahead of Regulatory Change in eComms Surveillance
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