With compliance and regulatory requirements within the wealth management industry continuing to rise dramatically and become more complex, it is critically important for companies to review their current business practices to ensure that they remain compliant, plus plan for the future in respect of expected changes to come.

 

Our Regulatory & Compliance Solutions service provides wealth management companies with outsourcing and infrastructure compliance support so that they can meet their regulatory & compliance needs.  Our service is modular based, allowing our clients to select what they require, and aligned to their size, complexity and nature of business, keeping the solutions proportional.  We provide to our clients:

  • An assessment of their current Compliance Framework.
  • If required, define a roadmap for implementation of any required changes, to meet the new regulatory environment confidently.
  • Deliver changes, enhancements and support in a timely and effectively manner, tailored to the respective company requirements.
  • Provide comfort to the Management / Board of Directors as to compliance of their business model and its application with regulatory requirements.

 

Our client focus is Asset Managers, Trust Companies, Fund Managers, Family Offices, Commodity Trading Companies and smaller Private Banks.  These companies face the same increasing regulatory complexity and requirements as larger institutions, but do not have the capacity to dedicate balance sheet, resources nor technology to resolve these challenges.

 

The service provides some of the following key benefits for our clients:

  • Control & reduction of compliance costs.
  • Access to relevant information on compliance / regulatory matters.
  • Support the Management Team in the business strategy & planning, understanding the impacts of regulatory change.
  • Access to high quality compliance resources.
  • Attendance to workshops and training to learn & share best practices with peers.

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