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Regulatory Compliance & Audit

for Stock Exchanges & Regulators

Stock exchanges and regulatory authorities face a unique set of challenges when it comes to fulfilling their own regulatory obligations.

 

 

Failure to stay current can lead to unnecessary costs and fines, as well and loss of investor confidence. But, a focus on internal compliance efforts can drain resources.

Our team offers program analysis, improvement recommendations and implementation guidelines to help you meet regulatory requirements and conform with industry best practices—without detracting from your business operations. The result will be a compliance program customized for your unique organizational structure and stakeholder expectations.

Our Services
Compliance Program Design & Implementation
Stock Exchanges & Regulators

An effective compliance program must meet the needs of both internal and external stakeholders. Our team’s extensive experience in designing compliance programs has helped our clients assess, and where necessary strengthen, their Culture of Compliance. We work with management to establish a “Tone at the Top” consistent with that which you expect from the organizations you regulate. Most important, we help develop and implement a robust control environment that is transparent and in keeping with regulatory and stakeholder disclosures—we can:

  • Streamline your practices, policies and procedures
  • Ensure consistency across your organization
  • Factor in your specific budget and resource constraints.

Our professionals will work with your company to create a strong control environment centered around the following:

Comprehensive Risk Assessment

Many organizations lack a core methodology for identifying key risks and determining their potential impact. We offer Compliance Risk Assessments that will be tailored to your needs. Our team can help you uncover legal and/or regulatory compliance risks that could impact management’s ability to achieve its strategic objectives.

Tailored Written Policies & Procedures

A robust, effective compliance program has written policies and procedures (WPPs) that describe acceptable behaviors and business practices for covered individuals and entities. WPPs must be clear, concise and capable of being followed on a regular and consistent basis across the entire organization.

Our experts will work with you to design WPPs that are practical and commercial, so that you can prevent, detect and correct violations of applicable rules, laws and regulations—while also achieving strategic objectives.

Dynamic Monitoring & Forensic Testing

For a compliance program to remain effective, it must be reviewed and monitored on an ongoing basis. Forensic testing is an essential component of these reviews. Our specialists have designed and implemented monitoring and testing programs at some of the world’s largest global banks, private funds, investment advisers and regulatory bodies—we can:

  • Review the scope and diversity of your monitoring and testing program to ensure alignment with the size and complexity of your business activities
  • Formulate a balanced mix of transactional, periodic and forensic tests designed to detect and prevent legal and regulatory violations
  • Recommend enhancements to existing programs based on new regulatory developments, industry best practices and emerging risks.
Robust Annual Compliance Reviews

Our team conducts independent annual compliance reviews with minimal business disruption. At the same time, we gather and compile relevant supporting documentation and prepare a written report to provide transparency and assurance of the independent review to your key stakeholders.

Customized Compliance Training & Education | THE PRACTICAL CCO

The practical application of compliance rules and regulations varies between and among an organization’s business units, employees and affiliates. That’s why we created THE PRACTICAL CCO—our proprietary training program that helps organizations deliver, document and maximize the impact of their training initiatives. Your compliance training program will be comprehensive, efficient and practical, as well as tailored to the responsibilities and business activities of:

  • Newly hired employees
  • C-suite executives and senior management
  • Managers and supervisors
  • Employees (firm-wide annual training)
  • Board committees and directors
  • Consultants and other non-employees.

Many organizations lack a core methodology for identifying key risks and determining their potential impact. We offer Compliance Risk Assessments that will be tailored to your needs. Our team can help you uncover legal and/or regulatory compliance risks that could impact management’s ability to achieve its strategic objectives.

A robust, effective compliance program has written policies and procedures (WPPs) that describe acceptable behaviors and business practices for covered individuals and entities. WPPs must be clear, concise and capable of being followed on a regular and consistent basis across the entire organization.

Our experts will work with you to design WPPs that are practical and commercial, so that you can prevent, detect and correct violations of applicable rules, laws and regulations—while also achieving strategic objectives.

For a compliance program to remain effective, it must be reviewed and monitored on an ongoing basis. Forensic testing is an essential component of these reviews. Our specialists have designed and implemented monitoring and testing programs at some of the world’s largest global banks, private funds, investment advisers and regulatory bodies—we can:

  • Review the scope and diversity of your monitoring and testing program to ensure alignment with the size and complexity of your business activities
  • Formulate a balanced mix of transactional, periodic and forensic tests designed to detect and prevent legal and regulatory violations
  • Recommend enhancements to existing programs based on new regulatory developments, industry best practices and emerging risks.

Our team conducts independent annual compliance reviews with minimal business disruption. At the same time, we gather and compile relevant supporting documentation and prepare a written report to provide transparency and assurance of the independent review to your key stakeholders.

The practical application of compliance rules and regulations varies between and among an organization’s business units, employees and affiliates. That’s why we created THE PRACTICAL CCO—our proprietary training program that helps organizations deliver, document and maximize the impact of their training initiatives. Your compliance training program will be comprehensive, efficient and practical, as well as tailored to the responsibilities and business activities of:

  • Newly hired employees
  • C-suite executives and senior management
  • Managers and supervisors
  • Employees (firm-wide annual training)
  • Board committees and directors
  • Consultants and other non-employees.
Compliance Program Audit
Stock Exchanges & Regulators

Establishing and implementing an effective compliance program is crucial to the long-term success of your business. But monitoring and updating your internal compliance program is difficult when regulating hundreds of member firms and trying to execute on strategic objectives. Constrained resources add to your challenge. At the same time, you must consider the concerns of your key stakeholders. Our skilled professionals can help you manage your compliance program—we will:

  • Quickly and accurately diagnose weaknesses in an existing program
  • Recommend enhancements to remedy omissions and limit exposure
  • Develop methodologies to identify and audit new and emerging risks.
Compliance Training & Education
The Practical CCO

The practical application of compliance rules and regulations varies within each organization. That’s why we created THE PRACTICAL CCO—our proprietary training program that helps stock exchanges and regulators deliver, document and maximize the impact of their training initiatives. Your compliance training program will be comprehensive, practical and tailored to the responsibilities and business activities of:

  • Newly hired employees
  • Examination staff
  • Enforcement staff
  • C-suite executives and senior management
  • Board committees and directors
  • Intermediaries
  • Consultants and other non-employees.

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