Tag: MCO

RegTech has experienced a strong 2025 so far, with developments abounding across the sector. At at a powerful time for the industry, it can...

Compliance often feels like playing catch-up, with companies racing to meet rules after they’ve been set, racking up costs along the way. Now, AI...

The Asia-Pacific region remains a compelling growth destination for global financial firms, despite facing significant regulatory and geopolitical complexities. According to the latest ASIFMA 2025 Asia-Pacific Capital Markets Survey, now in its fourth year, there is a strong sense of optimism among firms looking to deepen their presence across the region.

Registered Investment Advisers (RIAs) in the United States are bound by fiduciary duty, a legal standard enforced by the Securities and Exchange Commission (SEC), which requires them to act in the best interests of their clients.

A Hong Kong-based investment management firm has partnered with MyComplianceOffice (MCO) to streamline, centralise and improve compliance within its operations. 

The U.S. SEC has released its Examination Priorities for the fiscal year 2025, offering a detailed guide for CCOs to evaluate and enhance their compliance frameworks.

In the financial services sector, tracking employee compliance such as licensing, registrations, and continuing education is a complex task.

The ASIC is stepping up its call for enhanced oversight of business communications among authorised representatives.

The recently launched 2024 Surveillance Benchmarking Survey & Report from 1LoD and co-sponsored by MCO (MyComplianceOffice), sheds light on the evolving landscape of surveillance across financial institutions. The insights, gathered from over 30 prominent banks globally, highlight significant developments in the ways these institutions approach compliance and surveillance.

The strategic choice of the right technology platform is pivotal for firms aiming to enhance business focus, increase value, and solidify compliance as an integral part of their operations. However, the decision-making process to select an appropriate compliance solution is fraught with challenges. These include the risk of overspending, choosing software that fails to address both current and future needs, or enduring a difficult implementation phase.