How do you implement compliance in your Firm?

The only way that senior management can implement compliance is by documenting the Firm’s policies and procedures. These documents set out the corporate culture of the firm, the compliance objectives and how senior management has decided to implement them.

The Firm’s policies and procedures not only govern the day to day activities they are also a reference point, providing guidance to all of the Firm’s staff on compliance requirements.

These policies and procedures are also the documented evidence of the way in which a firm has organised its activities and demonstrate to the regulator the Firm’s approach to compliance.
 

We are specialists in helping your business stay compliant

We can create a comprehensive, practical suite of manuals, Policies and Procedures to meet the precise needs of your business.

With our support, you will be up to date with the requirements of your regulator as well as the specific needs and demands of your business. We can also help you to evidence on-going staff awareness of the contents of these documents – something that could prove to be of critical importance to your firm in the future.

Because compliance is all we do, you know that you have genuine experts working on your behalf to provide a bespoke service to your firm. Our consultants consist of some of the most highly regarded in the industry.

Practical, efficient and extensive

Stay compliant in a practical and efficient way that is appropriate to your business.
Examples of regulatory documentation include:

  • Compliance Procedures Manual
  • Operating Procedures Manual
  • Corporate Governance Manual
  • AML & CTF Manual
  • Code of Conduct/Ethics
  • Risk Management Framework and Manuals
  • Business Continuity Plan

Whether you’re a new start-up that needs a full suite of regulatory compliance documentation or an established firm that needs to audit and review your existing documentation and provide you with the assurance that your documentation is up to date and effective, we have a dedicated team of consultants that can help you every step of the way.