Regulation Services

Regulation & Compliance

Local and international regulation is constantly changing and evolving. Businesses need to adapt on a timely basis, changing procedures and processes and often remediating client files to ensure the documentation held continues to meet the various regulatory requirements. It is also a key requirement to operationalize and assess controls to ensure the correct adoption of legal/regulatory requirements across jurisdictions (at both state and federal level as well as cross border), in order for the business to remain compliant. We are able to quickly and efficiently help with domestic and international law & regulations, such as:

  • Investment Companies Act of 1940
  • Investment Advisers Act of 1940
  • Securities Act of 1933
  • Dodd-Frank Act
  • Volcker Rule
  • Regulation D Private Placement
  • FINRA Rules & Guidance
  • State Securities Legislation
  • AML/CFT Regulation and the USA PATRIOT Act of 2001
  • Data Protection (including EU-equivalence and Privacy Shield)
  • EU Regulation (including UCITS, AIFMD, MiFID II/MiFIR, PRIIPs, EMIR)
  • International & Cross-Border Regulation
  • Offshore Financial Regulation
  • OECD BEPS Actions

Whatever sector the change relates to we can assist by:

  • Identifying the requirements of the regulation
  • Implementing appropriate changes to business processes
  • Mapping your compliance with the regulations
  • Enhancing your monitoring programme
  • Ascertaining the need for remediation
  • Undertaking the remediation required
  • Providing a final report detailing all work undertaken

Different levels of service are available from consultation/advice to full programme management with a team of analysts & administrators to assist with remediation. Correcting or completing the documentation held on client files is one of the easy, but often overlooked, ways to ensure you remain in line with current regulatory requirements.