Regulatory obligations include risk management and holding adequate capital resources, protecting clients’ funds, regular regulatory reporting, incident management and reporting and handling customers’ complaints.
You have the options of paying as you go for ad hoc advice to help solve a specific issue or prepare for new regulations or benefit from a cost-effective ongoing support package which is tailored specifically to what you need across the full calendar year.
A standard retained advisory support contract includes:
- Compliance audit
- Monthly compliance monitoring
- Review and enhancement of documented policies and procedures
- Financial promotion reviews
- Regulatory reporting
- Regulatory subject matter experts on hand to answer your team’s questions as they arise
You can take comfort in knowing that you have access to a highly skilled team of deep domain experts who thrive on transferring our knowledge to compliance teams like yours. Our experts understand your challenges as they have acted as Global heads of compliance and share their knowledge and experience on best practice.