Compliance and Governance

We provide advice, training and monitoring support to organisation and businesses to help ensure that they operate in accordance with applicable services law and regulation. Our training, advice and support cover the following:

• Advisory Compliance

• Regulatory Competence & Change

• Regulatory Risk Management

• Control Room

• Fraud & Financial Crime

• Customer Treatment

• Conflict check procedure

• Wall crossing procedure

• Maintenance of watch list and restricted list

• Monitoring & Analysis

Note: Reducing complaints is a key way to building consumers’ trust. Right across every business, meeting customers’ needs should be at the heart of everything and we work with organisations to ensure this is realised.

In addition to the above, we provide expertise advise and training in the further areas of compliance including the following:

INTRODUCTION
Regulatory Bodies
Principles for Business
Management and Control
Breaches

STANDARDS OF PERSONAL BEHAVIOUR

Ethical Standards
Approved Persons
Training and Competence
Gifts and Entertainment
Personal Account Dealing
Outside Business Interests

STANDARDS OF GENERAL CONDUCT

Conduct Applying to all Client Relationships
General Business Conduct and Standards
Client Communications
Financial Promotions
Cross Border Transactions
Complaints, Investigations & Notices

STANDARDS OF MARKET CONDUCT

Market Conduct Regime
Protection of Information – Handling sensitive information
Code of Market Conduct
Conflicts of Interest

BUSINESS PROCESSES

Client Classification
Investment Information or Advice and Personal Recommendations
Transaction Standards and Requirements

FINANCIAL CRIME PREVENTION

Money Laundering
Suspicious Transactions
Know Your Customer KYC / KYB (for New Clients)
Sanctions
Fraud

OTHER MATTERS

Communicating with Regulators
Record Keeping
Data Protection