Building a Culture of Regulatory Compliance (Part 1)

Regulatory compliance is essential to the orderly functioning of the securities market. Registrants registered with the Commission should establish effective policies, operational procedures and controls in relation to their day-to-day business activities in order to ensure compliance with all relevant regulatory and legal requirements. The Commission is of the view that registrants will be more successful in this regard if a culture of regulatory compliance is embedded into the organisation’s work environment.


Building a Culture of Compliance – Part 1


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