With an ever increasing number of laws and regulations, compliance has recently become a focus area for businesses. An enterprise compliance programme will not only make these regulations easier to manage, it will actually help to instil compliance in the culture of the organisation and ultimately add to your triple bottom line. We have been in this business since 2004 and have a sound understanding of what works.
Better information, better processes, better business decisions, better business!
Compliance should be an asset to your business, and done right, it can be. Practical solutions with easy to implement tools and templates add to your business and result in the right people, the right processes, higher efficiencies, and real, tangible value.
Compliance is an internal risk control function where the compliance officer acts as a gatekeeper whose role is to identify, report on and prevent wrong doing in your business.
Our role is to assist your Governing Authority in maintaining the integrity of the business and be the first line of defence against fraud, market abuse, misconduct and workplace inefficiencies. Additionally, our task includes helping protect you against unscrupulous injustice, wherever this may originate, allowing you to do what you do best.
We act as the conscience of the organisation and encourage and monitor moral standards that are not always reflected in legal or regulatory requirements. This is especially so when there are a number of laws - such as the obligation to "do all things necessary to ensure that services are provided with “due skill care and diligence”. This elevates standards of good behaviour into legal requirements.
Your business’ discharge of its duties of due care, skill and diligence should be closely monitored to identify and address breaches, as these are not only non-compliant, but can lead to dissatisfied customers, unhappy Regulators, and a decreased bottom line. The role is mandatory under financial services regulations.
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