Regulatory Remediation

Overview

In the current market, it can be difficult for organisations, particularly FS companies, to implement new regulations while keeping up-to-date with industry standards. It can be a challenge to balance these requirements within the organisation’s internal control frameworks while at the same time ensuring that staff have the relevant training and qualifications necessary to effectively operate within these frameworks.

How can we help?

Our team has extensive experience with analysing processes and developing and embedding new frameworks. We offer firms assistance in formalising processes and improving process deficiencies. We can help with the following:

• Implementing risk mitigation programmes
• Implementing effective governance processes
• Developing the effectiveness of the compliance function
• Implementing Anti-Money Laundering (AML)/Counter Terrorist Financing (CTF) remediation plans
• Documenting of regulatory compliance processes
• Carrying out post implementation reviews