Regulatory Compliance Advice
Regulatory Compliance Advice
Regulatory Compliance Advice
- Advice on compliance with new or revised legislations (e.g. Client Focused Reforms, Registration Amendments)
- Audit reviews: preparation for audits, review of previous audit findings and assistance with remediating deficiencies, live support during audit, including assisting with audit response letters
- Firm compliance reviews: reviewing current processes and procedures for regulatory compliance
- Preparing and updating policies and procedures (Compliance Manuals), client onboarding forms and client disclosures
- Marketing and sales communication reviews
- Training on compliance with securities regulation
- Independent compliance consultant engagement following a regulatory decision