Our team has extensive experience in compliance matters over various industries with specialization in the investment services sector. We understand the complexities of a variety of business contracts, licensing agreements, and reporting processes and procedures. We have the know-how to assist you to deal with your regulatory requirements and ensure you are aware of the rules, regulations and policies that are applicable to your operations and business sector.
CX Financia can provide a number of day-to-day compliance supporting services based on best practices by keeping up to date with the ever-changing regulatory environment. We take pride in meeting tight deadlines, advising on any possible effect on your organization and provide feasible and appropriate solutions or actions.
We help you with
We provide ongoing support for regulatory compliance:
- Support with day-to-day queries - responding to your day-to-day questions in relation to the Laws and Directives governing your industry.
- Prepare or update your policies and procedures.
- Structuring your business in an efficient compliant manner.
- Train and educate your staff on compliance matters.
- Identifying areas of potential exposure
- Assist with regulatory reporting.
- Consult on your Interaction with the relevant authorities.
- Independent compliance audits.
- Advice on cross-boarding practises.
- Provide compliance assessment on strategic decisions.
Would you like to know more?
Book a free consultation with us today to discuss your compliance needs.