Regulatory Guidance

Insightful guidance and interpretation of regulations prompt summary alerts on new regulations and regulatory changes.

Holistic regulatory change management solution that will entail-

  • Detailed Guidance on Regulatory Changes and Expectations thereto
  • Bespoke and Practical Advice on Required Procedural and Control Changes.

Tracking of potential and prospective regulatory changes and facilitating access to regulators for required interface and advocacy

Compliance Framework

Design and implementation of regulatory compliance framework that would include

  • Drafting and Maintaining Relevant Policies
  • Designing Controls
  • Reviewing/Assessing their Efficacy

Smart and cost effective compliance tools that align with regulatory expectations and intent Designing and implementing Framework to manage risks around.

  • Suitability and Appropriateness (for Derivatives, Retail Structured Products and Wealth Management Products)
  • Management of Business and Personal Conflicts within the organization

Training & Governance

Bespoke Web based and face-to-face training modules to enable understanding of and compliance on key regulations.

Assistance in securing necessary regulatory authorisations and licenses. Review and help to put in place adequate governance frameworks.