If your organisation needs advice about the provision of compliance, our highly experienced adviser team may assist you in all your compliance related necessity.
Our regulatory and training experts working with independent dealers, registered investment advisers and financial planning operations leaves us uniquely qualified to help with your compliance requirements.
We offer assistance with audits of the business, anti-money laundering examinations, supervisory controls testing and registrations, compliance manuals, regulatory responses, compliance staff support, templates of various compliance related documents, risk assessment, implementation of best practice procedures, and more. We will customize our services to fit your needs. Please contact us to arrange a meeting with our expert compliance advisor to discuss your compliance needs.