Regulatory Compliance Services aimed at Cat II and Cat IIA financial services providers.

Corporate Governance, ethics and best practice

  • Advisory
  • Implementation
  • Reviews and health checks
  • Bench-marking

Enterprise-wide risk management, including regulatory & operational risk (and others).

  • Advisory
  • Implementation

 Regulatory Compliance

  • Advisory
  • ImplementationĀ 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.
    • Benchmarking
  • Representation on relevant compliance and governance-related industry bodies
  • License applications

Investment Performance Reporting

  • GIPSĀ® advisory, verification and consultative services.

Non-executive Directorships

  • 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