Membership of the Compliance Register

Introduction

Unlike other professional interest groups, The Compliance Register offers free membership to individuals and firms.

The following is the mission statement of The Compliance Register:-

  • To be a world-class international organisation for compliance professionals in the financial services industry.
  • To be a leader and standards-setter in the education, training and career development of compliance professionals.
  • To assist and enable compliance professionals, MLROs and senior managers to contribute to the continuing development of quality standards, best practice and efficiency in the financial services industry.

Individual Membership

For individuals, the criteria is that he/she must work within the financial services sector and have direct or indirect compliance responsibilities. For example, the following are eligible:-

  • Heads of Compliance and other compliance personnel.
  • MLROs and other AML Staff.
  • Senior Managers such as CEO, MDs, Chief Operating Officers, Chief Financial Officers, Risk Officers.
  • Compliance Consultants and their consulting staff.
  • Legal Advisers and their regulatory advisory staff.
  • Policy and Supervisory Staff of Regulatory Organisations.

The application form will give you more details. If you are in doubt of your eligibility, please contact our Chairman, Ben Goh in the first instance.

Corporate Membership

Membership is open to all firms within the financial services sector and firms which provide legal, accountancy, consultancy, outsourcing, administration and other support services to the financial services sector.

The application form will give you more details. If you are in doubt of your eligibility, please contact our Chairman, Ben Goh in the first instance.

Membership Policy

It has been our policy since our launch in 1995 to encourage chief executives, managing directors and other senior managers (in addition, of course, to compliance personnel and other compliance professionals such as consultants) to join as members. The reasons are mainly as follows:-

  • Compliance cannot be effective without the unequivocal support of senior management.
  • By becoming members, senior managers will have a better understanding of compliance issues and concerns and will therefore be in a better position to support compliance.
  • As an organisation, we will strive to have the right “balance”. In this respect, senior management has a crucial role to play by contributing to the development of our strategies and policies in meeting the professional needs of our members. We recognise that without the ability to see the wider concerns of senior management may and can lead to a very distorted and dangerously inadequate picture.

Our Approach

  • As an organisation, our approach is to aim to be the “doers” rather than the “talkers”. As the saying goes, actions speak louder than words. We firmly believe that our track record speaks for itself.
  • In the formulation of policy and strategy, we welcome the views of members. In addition, we have the wise counsel of our Board of Advisers.

Code of Conduct

All members are expected to behave in a professional manner at all times.

As part of being a professional, individual members are expected to undertake an appropriate programme of continuing professional development (CPD) each year to keep their knowledge and skills updated.

The Compliance Register reserves the exclusive right to terminate, without notice, the membership of any member whose behaviour is prejudicial to the reputation of The Compliance Register.

Join the Compliance Register here:

To apply for either corporate or individual membership, please download the respective application form, complete it and email back to us in Word format. Instructions are on the forms.

Apply for Individual Membership.

Apply for Corporate Membership.