Our team is helping clients build and manage flexible regulatory response and compliance teams with quantifiable and consistent results. By providing the right amount of quality experience with operational efficiency, clients are even able to work within the constraints of severely supply-constrained environments.
Our lawyers are experienced in compliance services aimed at giving effective protection to clients with regard to all aspects of their business.
Our services in this field include:
- Gap analysis of existing policies and procedures to ensure regulatory compliance and industry best practice
- Assessment and preparation of regulatory filings
- Advice and support on corporate governance and internal controls
- Legal training for the client’s staff
- Preparation of quarterly compliance reports for Boards, compliance committees or senior management
- Conducting post trade monitoring for investment guideline compliance and reporting
- License application
- General regulatory health check on key areas of business
- Comprehensive regulatory due diligence of regulated activities
- Regulatory and compliance advisory services
- Review of existing compliance and operations manuals and policies and procedures
- Regulatory and compliance risk identification and assessment and development of mitigating internal controls