Regulatory Compliance Services aimed at Cat II and Cat IIA financial services providers.
Corporate Governance, ethics and best practice
- Reviews and health checks
Enterprise-wide risk management, including regulatory & operational risk (and others).
- Implementation of compliance frameworks
- Including identification and assessment of compliance risks
- Development of Compliance Risk Management Plans and compliance policies
- Compliance awareness training. This includes regulatory exam training.
- Compliance Reviews and health checks.
- Independent compliance due diligence reviews.
- Assisting asset managers to prepare for regulatory inspections and other third party reviews.
- Representation on relevant compliance and governance-related industry bodies
- License applications
Investment Performance Reporting
- GIPS® advisory, verification and consultative services.
- Of financial services companies
Foreign FSP compliance services
Key Service Elements / Critical & Differentiating Success Factors
- Full service contracts and ad-hoc assignments
- Regulatory endorsement (e.g. FSCA approval)
- Absolute integrity & excellent reputation
- Committed to BBB- EE
- Close local and international industry connections
- We have done the job