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.