AML and KYC Capabilities added to MyComplianceOffice Platform the advantages of a unified compliance platform—where all your compliance needs are addressed seamlessly in one place. Capabilities added to MyComplianceOffice Platform

Hong Kong’s SFC has banned a former licensee after uncovering 109 matched and wash trades executed across multiple accounts, including those of a relative and a friend. 📰 Read the full breakdown and what it means for #Compliance teams:.👉

The ASIFMA 2025 Capital Markets Survey reveals that firms are expanding their product offerings and are mindful of managing regulatory complexity. #RegTech is key to helping firms prove oversight across jurisdictions. Read more:.👉

Join us at XLoD Global - New York on June 4. Stop by Booth 15 to learn about how our comprehensive #Compliance platform can help you manage compliance obligations and the regulated activities of employees and your firm. #XLoDNY #1LoD #RiskManagement #eComms.@team_1lod

Regulatory expectations around inside information, market soundings, and conflicts of interest continue to grow. Firms need solutions that streamline processes, reduce risk, and provide clear audit trails. Learn more about how MCO's solutions can help:

A suspended prison sentence, a substantial financial penalty, and a public fall from grace are all very real consequences of failing to safeguard insider information. See the full article about this recent case of #InsiderTrading:

RegTech isn’t just for large firms. Compliance technology benefits firms of all sizes—particularly when managing regulatory changes like the Hong Kong SFC’s Market Sounding Guidelines coming into effect in May 2025. Learn more about the Guidelines: 🔗

Thank you to MCO's customers, partners, and new faces we caught up with this week in Sydney, Melbourne, and Brisbane in Australia. To receive priority invites to MCO events APAC, register here:

"When new regulation is released, sometimes it can be quite challenging to identify when a consultation paper has been released, when the outcomes of that consultation have been released and when the guidelines would be effective.". Learn more:

Discover eComms Review by MCO.

The regulatory clock is ticking! ⏰ The HK SFC Market Sounding Guidelines come into effect on 02 May 2025. Don’t miss our live webinar to help your firm understand the changes and how to stay ahead of evolving regulatory expectations. 📅 Wed 26 March

As we approach the effective date of the HK SFC's Market Sounding Guidelines, financial firms must ensure their compliance frameworks account for evolving regulatory expectations. Join our live webinar to hear key insights. 📅 Wed 26 March.🔗 Register now

If you're in Hong Kong, we hope to see you today at what has already been an exciting, information-packed event. See us at Booth #2 at the ALB Regulatory Summit!. Also, access your complimentary eBook, Reducing Bribery and Corruption:

Will you be attending the SIFMA C&L Annual Seminar? We'll be there! . Stop by the MCO booth to learn about how our comprehensive compliance platform can help you proactively manage compliance obligations. #SIFMACL #Compliance #ComplianceOversight #CCO

With the SFC’s Market Sounding Guidelines upcoming, multi-jurisdictional firms should assess whether they are impacted by the Guidelines and ensure policies and processes adhere to the highest regulation across all regions of operation. 📖 Learn more:

We are excited to be at the #IAAComCon!. If you're at the show, stop by and chat with the team about all things #Compliance! You can also set up time for a conversation right here: #ComplianceObligations #ConflictsOfInterest #AML #CommuncationsCompliance

With the Hong Kong SFC’s Market Sounding Guidelines coming into effect in May, firms should assess their policies and processes for handling sensitive information related to market soundings. Join us live on Wed 26 March to learn more:

💡 How can financial firms prepare and safeguard themselves from financial crime? Join industry leaders at the ALB Hong Kong Regulatory Summit on 19 March 2025 at the JW Marriott Hotel (and Meet MCO at Booth #2) to find out. Register now:

Financial firms must be prepared for both sides of a market sounding. The (Hong Kong) SFC’s Market Sounding Guidelines outline obligations for buy-side and sell-side, with requirements differing for giving or receiving inside information. 📖 Learn more:

We are excited for the IAA Compliance Conference next week!. If you'll be there, stop by Booth 5 and chat with the team to learn about how we help firms get clarity and insight around managing compliance. #IAAComCon #Compliance #ComplianceObligations #ComplianceOversight #AML