Compliance programmes

We have experience in managing and advising on US, UK, SFC, EU and global compliance programmes. We have trained legal and compliance departments and regulators, implemented compliance programs, written and reviewed manuals, policies, procedures and monitoring programs, handled the integration of compliance departments in mergers and advised on regulatory inspections and investigations.

Compliance Programme Implementation

We can, with and for you:

  • train compliance departments
  • implement, review and restructure compliance programmes
  • conduct independent reviews and report to boards of directors
  • write, implement, review and amend/upgrade manuals, policies, procedures, controls and monitoring and testing programmes
  • advise on and handle the integration of compliance departments in mergers
  • advise on regulatory examinations and investigations
  • conduct mock examinations and reviews