|
Compliance
The first line of
defence against costly litigation and/or regulatory sanctions is a set of
sound compliance procedures. We can assist you in creating a culture of
compliance that will not only meet regulatory requirements but will
reduce both financial and reputation risk. We can help with all aspects of
compliance including:
 |
New Accounts:
We can review your existing procedures to ensure that you have in place
proper controls and procedures |
|
Account
Documentation:
We can redesign your account documentation so that it is user friendly
while providing the legal framework you require |
|
Surveillance:
We will assist you in the development of a process to ensure that various
activities are scrutinized from different points of view including not
only credit and compliance but also trading and operations |
|
Account Review:
We can recommend procedures to detect illegal movements of money and
securities through client accounts including money laundering, illegal
security distributions and promotional activities as well as broker
misconduct |
Operations
|
Credit:
We can help
you to develop a framework to manage the risk associated with client
accounts, particularly in connection with margin and options accounts |
|
Internal
Controls:
We can help you
to establish a proper framework to ensure that your books of account are
in balance while at the same time minimizing the possibility of fraud |
|
Mutual
Funds:
We can assist
you with all aspects of mutual funds including systems and liaison with
mutual fund companies |
|
Reconciliations:
We have
experienced staff who can help you to balance control accounts, clearing,
stock records, or any other reconciling
functions |
|
|
