A Hong Kong-based investment management firm has partnered with MyComplianceOffice (MCO) to streamline, centralise and improve compliance within its operations.
The firm, which operates under the Securities and Futures Commission (SFC) regulations, has adopted MCO’s Know Your Employee (KYE) suite to centralise its compliance processes and eliminate outdated manual workflows.
Specialising in pan-Asian investment opportunities across public and private equity markets—including the technology, consumer, and healthcare sectors—the firm required a scalable solution that would replace manual compliance workflows and enhance operational efficiency while mitigating risk.
The decision followed a rigorous selection process, during which multiple vendors were evaluated. MCO stood out due to its comprehensive compliance management capabilities, regional expertise, and responsive service throughout the evaluation period. MCO’s APAC sales director, Tanooja Rai, collaborated with the firm’s chief compliance officer (CCO) to gain a deep understanding of their compliance challenges and regulatory obligations.
The investment management firm has now licensed MCO’s full suite of KYE solutions, which include Personal Trading Manager, Attestations, Forms & Employee Policy Display and OCR Trade Capture & Direct Brokerage Feeds.
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