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02

Governance

  • Review and update of your governance and regulatory frameworks 

  • Quarterly/semi-annual/annual governance, risk and compliance assurance reviews

  • Unlimited telephone and e-mail consulting

  • Marketing and advertising reviews

01

Risk

  • Regulatory risk management

  • Risk policy review

  • Risk disclosure review

  • Risk governance review

Compliance

  • Compliance documentation maintenance

  • Compliance education and training

  • Periodic compliance alerts

  • Regulatory inspection support and off-site assistance including response program, review and preparation of documents, management letter response

  • SFC application and submission support

  • With service partner support

    • SEC/CFTC support (ACA Compliance Group)

    • FRR returns review (Wheelhouse Advisors Limited)

SFC ONGOING SERVICES

03

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