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To deal with the challenges presented by globalization, consolidation, technology and the explosion of financial product offerings in Canada, new SROs have been established. Staying ahead of the changes can be a challenge. In addition to legal obligation, companies must comply to provide a stable base for future expansion and to protect valuable reputations; all while maintaining a focus on the day-to-day operation of their business.
Many companies are increasing the profile and visibility of the regulatory compliance function within the organization to demonstrate their support for its importance. However, giving the daunting list of activities, compliance is easier said than done.
Our team of regulatory consulting professionals, including former regulators with in-depth knowledge of the financial services regulatory environment, helps clients protect their reputations and avoid costly failures by expertly managing the changing environment. They provide the expertise needed to anticipate and proactively manage compliance challenges so that you can focus on the task of growing your business.
Our advisors offer services and professional expertise in:
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AIMR performance presentation standards compliance and audit
readiness reviews
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Standards of sound business practices reviews
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Legislative compliance management systems consulting
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Risk based examination models
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Compliance reviews and audits
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Soft dollar practices reviews
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Fraud investigations
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Market conduct reviews
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Anti-money laundering services
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Development and review of policies, procedures and compliance manuals
- Reorganization services
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