On-Webinar: SEC Exam Priorities, the 2023 APAC Impact + More Resources

For every registered firm with the SEC, it’s not matter if you’ll be examined but when. COVID-19 drove a necessity for the SEC to adapt its examination processes from traditionally in-person activities to remote. As a result, companies operating in the Asia-Pacific (APAC) region must now be ready and able to support the SEC in its procedures.

This article provides insight into the SEC and its examination priorities over the last year, how to prepare your firm for an impending examination, and what looks to be the SEC’s priorities for 2023.

The modern workplace has undergone a significant evolution in recent years, with rapidly changing employee priorities and organisations’ attitudes towards remote and hybrid work environments.

While these changes have brought a greater acceptance of workplace flexibility, they also bring new challenges.

See the in-depth article detailing how regulatory compliance and risk management must now mature to accommodate hybrid and remote workplaces.

MCO’s powerful platform enables companies around the world to reduce their risk of misconduct and effectively oversee regulatory obligations.

MyComplianceOffice (MCO) has grown from 70 to 200+ employees in the last 3 years and has seen significant investment in expanding our local APAC resources, including:

Our Implementation team brings 4 in-region experts to enhance the setup experience.
Our Customer Success team provides strategic support in-region, ensuring the implementation-to-go-live journey is a seamless one.
Customer Support now covers Australia and New Zealand hours.
Tier 2 Customer Support also commences during the Asian workday, so your technical questions are responded to even faster.

As the leading independent provider of risk and financial advisory solutions, Kroll leverages its unique insights, data and technology to help clients stay ahead of complex demands. Kroll’s team of more than 6,500 professionals worldwide continues the firm’s nearly 100-year history of trusted expertise spanning risk, governance, transactions and valuation.

Kroll’s Financial Services Compliance and Regulation division experts provide financial services clients with end-to-end compliance and regulatory services, working alongside firms to minimise risks, drive efficiencies, and ensure compliance.

Managing Compliance Risk

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Globalisation has made workplace compliance more complex for financial firms. As a result, enterprise risk management is more challenging than ever - particularly across the growing Southeast Asian market.

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