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
