Corporate Compliance

Corporate Compliance Services

Our corporate compliance services cover a wide range of managed services including e-communication reviews, marketing material and advertisement review, regulatory compliance review, distribution compliance, code of ethics monitoring and social media surveillance. Our regulatory compliance professionals work as an extension of your firm’s team of in-house compliance officers to provide support and assist you in terms of seamless workflow. Combined with our expertise in compliance, our subject-matter experts strive to maintain internal controls and help redesign workflow to mitigate inherent and potential risks identified under any policy or regulation.

Who we serve

Corporate Compliance Services - Support We Offer

Marketing and Advertising Review

Portfolio Analysis
Performance Analysis
Client Reporting
Factsheet
Strategy/Product Presentations
Press Releases/Media Newsletters
Website Content
Commentaries
Risk Reports
Educational Presentations
Thought Leadership
Pitchbooks/Bluebooks/Pinkbooks
Product Profile
RFPs/RFIs
Whitepapers
Brochures

Social Media

LinkedIn Reviews
Twitter Reviews
Social Media Posting Approvals

Electronic Communication Surveillance

Emails
Instant Messenger/Chatrooms
Terminal Messenger (e.g. Bloomberg, Yammer, etc.)
Voice Recordings

Code of Ethics Monitoring

Personal Trade Account
Outside Business Interest/Personal Interest
Gift and Entertainment
Political Donations
Transfer Reports

Time Based Projects

Registrations/Licensing Monitoring
Certifications (Annually or Quarterly)
Conflicts Register (Annual)
Training (Annual)

Regulatory Implementations

PRIIPs – Packaged Retail Investment and Insurance-Based Products
SMRC – Senior Managers and Certification Regime

Due Diligence

Manager selection program
Third party distributors program

ESG Compliance Monitoring Services

Firms’ ESG policies and procedures
Exclusion policies
Pre-screening and due diligence processes
Stewardship policies
ESG disclosures
ESG frameworks such as checklists and questionnaires
Prospectuses of Article 6, 8 and 9 funds
Portfolio and country allocations
ESG committee documents, including charters and terms of reference

How we are different

EXPERIENCE

Our compliance support team is specialised in reviewing material from a number of regulators such as the SEC, FINRA and FCA, providing you with a centre of excellence to support your global marketing teams

PROCESS OPTIMISATION

Specialised in monitoring specific policies in line with Rule 204A-1 and country-specific regulatory requirements, our subject-matter experts are uniquely placed to monitor your code of ethics globally with our corporate compliance solutions

STRONGER SERVICE QUALITY LEVELS

We are committed to helping firms mitigate high risks such as existing and potential individual and organisational conflict, conducting due diligence, and enhanced bribery and compensation monitoring with a key focus on protecting stakeholder interest

NEARSHORE CAPABILITIES

We have extensive experience – from enhancing lexicons to timely escalation – due to our ability to work across time zones, helping onshore teams understand an immediately actionable plan at the start of their day

TECHNOLOGY

We are experienced in working with compliance tools such as Global Relay, Smarsh, Symphony, Salesforce, Compliance Accelerator and Star Compliance to provide regulatory compliance services