Devising and Implementing Procedures
We can help you to devise and implement procedures to meet legal and regulatory requirements, in areas such as assignment manuals, anti-money laundering, client acceptance, practice assurance, ethical codes and fit and proper declarations.
You might already have a significant amount of material in place, or perhaps you are just starting out. Wherever you are in the process, we can assist in identifying the requirements you need to meet, and the most effective means of doing so. Laws, regulations and standards are ever-changing, but our years of experience in dealing with these matters, and our constant monitoring of the regulatory environment, mean we can assist you in keeping up to date.