Regulatory Enforcement & Compliance Advisory Services
Governance, Regulatory and Compliance continue to be a complex business challenge. As new laws and regulations are introduced, their requirements challenge boards to greater levels of transparency, objectivity and professionalism. Increased accountability and potential exposure to liability means directors need to ensure that corporate governance standards are adhered to and robust compliance management systems are in place. Sound corporate governance practices can protect directors from potential personal liability and protect the company from reputational harm.
Integrity works closely with clients to ensure that their compliance arrangements are in line with regulatory requirements at a global and local level. Our approach combines an analysis of the legal framework together with an assessment of the systems and processes which can help to ensure compliance and sound corporate governance.
Our regulatory and compliance team have experience working with regulators and financial institutions in order to provide unrivalled regulatory and compliance services to the fiduciary, asset management, investment banking and broking sectors.
These services comprise:
• Governance framework design and reviews
• Audit of compliance arrangements and specialist compliance review
• Board and Audit Committee assessments
• Anti-money laundering (AML) assistance
• JFSC/FCA/SEC/SFC authorizations and licensing
• Global regulatory advice
• Policy and procedure development
• Training for all staff, including senior management and compliance staff, , i.e. director responsibilities, obligations and best practice governance requirements
• On-site examination support
• Market abuse training and controls testing
• Financial regulatory reporting
• Regulatory Compliance investigations
• Sarbanes-Oxley Advisory Services (for SEC registrants)
• EU 8th Directive Advisory Services
• ‘J-SOX’ Advisory Services