As a listed entity or financial service provider, you are all too aware of the burden of keeping up with today’s regulatory requirements and the need for an effective organization-wide compliance program to help your company effectively demonstrate its commitment to adhering to relevant laws, industry codes, ethical standards and business values. GRC Essentials can provide you with an all-encompassing, integrated compliance program that will best address your specific business needs as well as that of your regulatory obligations.  

Our compliance programs don’t just target specific problem areas but really are meant to help build a relevant comprehensive framework that will incorporate all aspects of your business, including: financial management, risk management, quality assurance, environmental, safety management and operational requirements and procedures.

Our compliance services extend to:

•     Compliance Manuals
•     Compliance Committee Services (Chair and Member)
•     Compliance and Responsible Manager/Fit and Proper Person Assessments
•     Compliance Plans
•     Licensee and Representative Reviews
•     Whole of Business Reviews
•     AML/CTF Compliance Frameworks and Reviews
•     Assistance with Overall Management of Licence Conditions
•     Review of Licence and Business Documents
•     Review and Assistance with Creation of Client Engagement and Advisory Processes
•     Complaints and Breach Handling Services
•     Assistance with Preparation for Regulatory Notices

For more information on our compliance capabilities, kindly give us a call or send us an e-mail.