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.
Know Your Risk
The MyComplianceOffice platform provides a unified approach to Conduct Risk. Identify and mitigate potential conflicts from the activities of employees, third parties and the company.
Know Your Employee
Know Your Third Party
Know Your Transactions
Regulatory Concerns
Learn more about the most current regulatory issues and their impact on organizations like yours.
