Services / Consulting / Compliance and Regulation
Go BackFinancial Services organisations are grappling with the biggest shake-up in regulation for a generation. Implementing reforms ranging from Basel II and Sarbanes-Oxley to the ever increasing array of anti-money laundering provisions has been a costly and complex challenge. Companies in the EU face the additional hurdle of complying with a raft of directives emanating from the European Commission’s Financial Services Action Plan, including MiFID and Solvency II.
Expertise
- Client Identification and Verification
- Disaster Recovery
- Business Continuity
- Archiving and Records Management Policy
- Policy Compliance
- Basel, MiFID, REGNMS, SARBOX
- Suspicious Transaction Monitoring
Approach
Audit Review A specialist review is performed of the compliance and regulatory requirements within an organisation focusing on the current status of any in-progress or completed initiatives and the likely impact of any yet to be addressed regulations.
Strategy and Planning Our experienced Consultants identify the optimal strategy for delivering any outstanding requirements and for meeting any new regulations. A detailed Project Plan is produced identifying the resources, timelines, pre-requisites and interdependencies to enable the successful delivery of the Compliance and Regulatory requirements.
Training We provide training to our client's resources to enable them to mobilise and become effective immediately in the techniques and toolsets required to deliver the Compliance and Regulatory requirements.
Coaching and Mentoring Our experienced consultants provide full coaching and mentoring to our client's Compliance teams to enable them to become totally self sufficient in the techniques and utilities that are being used throughout the project.
Resourcing If clients desire we provide expert resources to supplement their team.