Corporate Compliance Services
Our corporate compliance services cover a wide range of managed services including e-communication reviews, marketing material and advertisement review, regulatory compliance review, distribution compliance, code of ethics monitoring and social media surveillance. Our regulatory compliance professionals work as an extension of your firm’s team of in-house compliance officers to provide support and assist you in terms of seamless workflow. Combined with our expertise in compliance, our subject-matter experts strive to maintain internal controls and help redesign workflow to mitigate inherent and potential risks identified under any policy or regulation.
Corporate Compliance Support We Offer
How we are different
We are specialised in reviewing material from a number of regulators such as the SEC, FINRA and FCA, providing you with a centre of excellence to support your global marketing teams
Specialised in monitoring specific policies in line with Rule 204A-1 and country-specific regulatory requirements, our subject-matter experts are uniquely placed to monitor your code of ethics globally
We are committed to helping firms mitigate high risks such as existing and potential individual and organisational conflict, conducting due diligence, and enhanced bribery and compensation monitoring with a key focus on protecting stakeholder interest
We have extensive experience – from enhancing lexicons to timely escalation – due to our ability to work across time zones, helping onshore teams understand an immediately actionable plan at the start of their day
We are experienced in working with compliance tools such as Global Relay, Smarsh, Symphony, Salesforce, Compliance Accelerator and Star Compliance to provide regulatory compliance services