Compliance, Risk and
Our goal is to provide practical, actionable insight into the changing regulatory environment and specifically how it affects your business lines, processes and systems.
- Provide outsourced compliance solutions on a recurring and/or discrete project basis.
- Develop organisation specific standardised compliance taxonomies.
- Ensure on-shore and off-shore fund compliance where applicable.
- Perform compliance controls, procedures and relevancy review.
- Supply compliance advisory around investments, CTAs, IBs and FCMs.
- Manage FINRA-registered broker-dealer compliance.
- Law firms.
- M&A firms.
- Private equity firms.
- Public Accounting firms.
- Basel 1, 2, 2.5 and 3.
- Dodd Frank
- Title 2 & 3
- Know Your Customer and onboarding.
- Anti-Money Laundering.
- Trade Surveillance.