GOVERNANCE RISK &

COMPLIANCE

"Collectively, with limited resources, Risk and Compliance need to deliver assurance to the Governance team that Firms are robustly braced against the unforeseen."

OUR

RANGE OF SERVICES

We provide integrated governance, risk and compliance solutions to a range of financial services firms that is tailored to meet SFC regulations and international obligations.

Governance is the oversight that you bring to bear. We help you to look in the right direction through using appropriate risk and compliance tools.

The Risk function is to help identify the key areas and how frequently they need to be looked at. We perform risk assessments with the comprehensive participation of senior management to provide guidance on the appropriate use of limited resources.

Compliance looks at both changes to rules that are coming up and how the internal controls are working to help you comply with those rules. We help you to manage your compliance obligations and bring assurance that you have adequate and effective arrangements in place to challenge and test the design and operation of your processes and controls.

RISK FRAMEWORK

G Main Categories Detailed Risk Areas (example for Type 1, 4 and 9) Risk Exposure and Control Requirements (i.e. risk profile driven factors) – Hedge Fund, Private Equity, Introduction General Governance Compliance and Housekeeping – What we always did Outstanding Issues / Enforcement / Regulatory Developments / Review of your Governance International Issues / Local Issues / Industry / Review of the Current Environment PEP and EDD / Country Profiles / Transfer Agency Oversight / Investor Categorisation / Reviewing changes to your marketing foot-print Market Risk / Issuer Risk / Liquidity Risk / Leverage Risk / Derivative Risk / Mandate Risk / Reviewing any changes to your risk profile Counterparty Risk / OMS and PMS / Settlement / Administration / Reporting - L/S – Country / Custody / Errors / Breaches / Reviewing changes to operational risk profile 1-Best Execution and Broker Review / 2-Churning / 3-Record Keeping / 4-Aggregation and Allocation / 5-Telephone Recording / 6-Dealing Commissions / 7-Trade and Transaction Monitoring / 8-HK Long and Short Selling Disclosures / 9-Research Services 1-Apportionment and Segregation / 2-Branch Management / 3-Data Security / 4-Business Risk Management / 5-Compliance Arrangements / 6-Cybersecurity / 7-Fraud Prevention / 8-Management and Internal Control 1-Licensing / 2-Notifications / 3-Complaints / 4-Outsourcing / 5-Personnel 1-Licensing / 2-Notifications / 3-Complaints / 4-Outsourcing / 5-Personnel 1-Annual Reporting / 2-FRR Reporting / 3-Financial Resources 1-Management / 2-Gifts and Entertainment / 3-PA Dealing / 4-Side Letters / 5-Outside Business Interests 1-Statements / 2-Reconciliation / 3-Valuation / 4-Custody / 5-Client Disclosure / 6-Data (Location) / 7-Exposure (Proprietary) PE (Conflicts) PE (Fees) PE (Administration) Blue Sky (External) Form D (External) 6-ADV General Update / 7-Disciplinary and Bad Actor 6-Pay to Play / 7-Disclosures 10-Insider Trading / 11-13 D, F, G, H 4-Anti-Fraud Provisions 4-Money Movement 13 D, F, G, H Investment Process / Risk Management Process / Market Misconduct Exposure Quarterly Meetings Business Environment Investment Profile and Risk Operational Risk Marketing General Conflicts Marketing Accounting Investment Operations Internal Control US Matters (ERA) R C
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FEEDBACK

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HOW WE WORK

Knowledge & Leadership

We provide technical knowledge and thought leadership with a proactive approach to problem solving.

Service & Quality

In every form of service the quality of our deliveries and how we execute those are our utmost priority.

Cognitive Learning

Not only do we provide guidance and assistance we seek to ensure that our clients adapt with us to an ever changing, challenge business environment.

“We teach people to fish for themselves while making sure that fishing gets done”

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OUR CLIENTS