We have experience in managing and advising on U.S., UK and SFC compliance programs. We have trained legal and compliance departments and regulators, implemented compliance programs, reviewed Compliance Manuals, Codes of Ethics, policies, procedures and monitoring programs, handled the integration of Compliance departments in mergers and advised on regulatory inspections and investigations.
We can, with and for you:
- train compliance departments
- implement, review and restructure compliance programs
- conduct independent reviews and report to Boards of Directors
- review, help amend/upgrade Compliance Manuals, Codes of Ethics, policies, procedures, controls and monitoring and testing programs
- advise on and handle the integration of compliance departments in mergers
- advise on regulatory examinations and investigations
- conduct mock exam and reviews
- review global developments and advise on courses of action
- define your goals
- conduct a regulatory audit, advise on the results and be a catalyst for change
- help you change your policies, procedures and monitoring programs to comply with new and changed requirements
- interface with regulators on ongoing matters, requests for advice and derogations and special situations