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Consulting Services for Financial Services

Partner with our team to make decisions with confidence

Contact Us

Managing regulatory change is one of the biggest challenges for global financial services firms. Understanding the complexity of your compliance requirements while staying on the side of the regulator is an ongoing challenge. Let’s talk about how we can help your firm.


 

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How We Help

Do you want to feel confident that your firm’s compliance and risk management program can effectively protect your business? Our team offers a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value. We help with:

Compliance Program Development Assistance

Does your firm need help developing and implementing a compliance program tailored to your unique regulatory requirements?  We can help.

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Compliance Program Reviews and Risk Assessments

Does your firm need assistance with ongoing compliance, managing regulatory change, and risk assessments? We can help.

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Compliance Program Development Assistance

We help financial services firms develop and implement effective compliance programs tailored to their applicable regulatory requirements and unique risks. Whether you need assistance with regulatory registration or authorization or developing policies and procedures, we can help.  

 

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Getting Started   

Are you seeking registration or authorization for the first time or an established regulated firm looking to move into a new line of business or region?

 


 

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Compliance Policies and Procedures  

Are you looking to develop policies and procedures for your firm?

 


Compliance Program Reviews and Risk Assessments

We help firms feel confident that they are meeting – and will continue to meet - their regulatory obligations while adhering to market best practices. Whether you need assistance reviewing an existing compliance program or assessing your cybersecurity, technology, and data privacy risks, we can help.

 

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Compliance Reviews

Are you confident your firm is meeting regulatory obligations and adhering to market best practices?

 


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Risk Assessments and Due Diligence

Are you aware of your firm’s cybersecurity and technology risks in order to protect your firm’s sensitive data?