Webinar

In today's regulatory environment, relying on just the annual review to assess the health of your compliance program is not enough. Regulatory expectations are evolving rapidly, requiring continuous monitoring and proactive management of compliance programs to stay ahead. This shift is not just a matter of best practice but a critical necessity for organizations in order to be able to both understand the most pressing areas of compliance to your firm and the effectiveness of your policies, procedures and controls in response to that risk.

The Hong Kong Securities and Futures Commission (SFC) is introducing new Market Sounding Guidelines, coming into effect on 02 May 2025. The guidelines aim to bring greater structure, oversight, and accountability to market sounding activities.

Electronic communications surveillance (eComms surveillance) is often manually intensive, time consuming, and highly reactive. The 2024 Surveillance Benchmarking report published by 1LoD shows the average surveillance team size consists of around 103 employees—who spend a massive 81% of their time simply reviewing alerts.

Effective surveillance plays a crucial role for compliance in maintaining regulatory compliance and safeguarding the firm from the effects of illicit employee behavior that leads to market abuse and market manipulation. Regulators fully expect that firms to have effective controls in place to monitor employee behavior and transactions for non-compliance, whether inadvertent or intentional.