Regulator may conduct on-site reviews of licensees from time to time to ensure all regulatory requirements are met. The best way to prepare for a regulatory visit is to conduct a mock review by CompliancePlus. Our team prepares a detailed document checklist and conduct interviews with employees in your company to go through compliance and operational issues to ensure compliance with regulations.
Our team covers key compliance areas during an on-site review as follows:
- Review trading practices, including best execution, broker review processes, soft dollars and their disclosure
- Conduct risk assessments on operation and office in general
- Conduct assurance reviews
- Review and update staff code of ethics and procedures such as policy on errors reporting and escalation, potential conflicts of interests, personal dealing policy and gifts and benefits policy etc. in order to address latest regulatory concerns
- Review Anti-money Laundering policies and procedures
To learn more, please email email@example.com