Firms are required to take reasonable care to establish and maintain arrangements, systems and controls that are appropriate to the size, complexity, and nature of their business. To comply with this obligation, they must put in place the necessary written policies and procedures to ensure their compliance, including their managers, employees, and any relevant persons with the applicable regulatory framework.
- We create and/or review your Compendium of policies and procedures
- Our policies and procedures are tailored to your business model and ensure that all the regulatory requirements are fully integrated
- They are easy to understand and provide for smooth integration in your operational framework.
- Bespoke and tailored to your business model: not another off-the-shelf solution and/or a copy of the applicable regulatory requirements
- Based on a thorough risk assessment and transverse analysis
- Holistic approach to ensure that all aspects pertaining to your business are addressed
- Drafted by ex-regulators, i.e., by persons that designed, implemented, and enforced the rules stemming from the applicable regulatory instruments
R: Relevant and reasonable
- We leverage on the existing and seek your input to ensure they are tailored to your needs
- Firms often exist within a group of companies. Specific needs and requirements will be considered to ensure full integration and allow local as well as cross-border oversight.
- We are happy to discuss any specific needs to create fully tailored deliverables
- Any such deliverables may come with a specific training and support as needed to ensure that all relevant parties understand their responsibilities and how the framework applies to them.