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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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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Thank you for a great year of Webinars!

2018 was one for the books! Special thanks to both attendees for their time and attention and to our Webinar co-hosts for sharing their expertise. If you'd like more information about any of the topics presented or our fellow co-hosts, please click below or reach out to us at advance@mycomplianceoffice.com.

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