Risk Management

In using the Compliance Practice, customers are assisted in risk management. This depends on the requirements of the customer and some services done are:

° Fit and Proper Assessment on all financial service representations (normally prior to

° employment or as a general review).

° Gap analysis on compliance aspects.

° Compliance monitoring on various business aspects.

° Assistance in compliance procedures in drafting policies and procedures.

° Ad hoc requests relating to compliance challenges – often following enforcement.