SEC Expectations and Compliance Best Practices

The SEC recently published a Risk Alert that provides an overview of certain compliance issues observed by the Office of Compliance Inspections and Examinations. The alert was created on the top of examinations of registered investment advisers, private equity and hedge fund manager examinations. 

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The Road to a Successful Compliance Technology Purchase

Procuring an integrated conduct risk and compliance technology solution requires compliance officers to examine and manage several changes.

Firms are expected to maximize profits and reduce costs when choosing or changing vendors. A compliance technology solution can help firms to manage conduct risk, monitor conflicts of interest, comply with the fast-paced regulatory environment and reduce reputational risks. Besides, the benefits of saving costs and time if selecting the right solution.

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Measuring Culture and Creating a Healthy Culture of Compliance

To meet regulatory expectations firms must have a number of policy and rules in place, as well as manage conduct risk and monitor conflicts of interest effectively. In recent years, regulators have been stressing concerns on the ability of firms to manage conduct risk and highlighting that conduct is directly driven by the organization’s ethical culture.

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Building a Case for Process Improvement & Compliance Technology Change

Software works best when the right processes are in place. Changing to a new technology platform can seem dauntingbut it doesn’t have to be. Knowing what to expect during a software transition helps to ensure a successful implementation.  

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China Rise Securities Conduct Failures & Monitoring Conflicts of Interest

The Hong Kong Securities and Futures Commission (SFC) recently sanctioned a former chief executive officer of China Rise Securities Asset Management Company and suspended its head of dealing for inappropriate standards of conduct and breaching of the Code of Conduct.

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