Regulatory and Compliance

Regulatory and Compliance

Laws and regulations are a continuously moving target.

Laws and regulations are a continuously moving target.

Organisations need to ensure effective compliance with increasingly varied and complex requirements.

In addition, increased accountability and potential exposure to liability is challenging for Boards and management. Now, more than ever, it is critical to ensure that relevant and efficient control procedures are in place.

How we can help 

Regulatory Compliance

Our services include:

  • Evaluation of current compliance policies and procedures
  • Provision of advice on design of the compliance function and, when appropriate, assistance with the design and implementation of specific reporting systems, process requirements, and compliance programs, including training approaches.

Regulatory and Management Investigations

Our team can:

  • Provide recommendations for improvements in structures, processes, and controls
  • Facilitate a positive relationship with regulators

Our services include: 

  • Regulatory risk assessments and privacy legislation compliance
  • Regulatory Reporting 

New Business/New products

We can help clients: 

  • Structure new business/new products so that regulatory approval can be obtained
  • Present to the regulators requests for approval of new businesses/new products
  • Create new policies, procedures and processes, including internal controls, that will be needed prior to commencement of new businesses/new products.

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