Organisation, procedures and controls

We can assist in shaping your Compliance organisation, working with you and your in-house teams in performing risk assessments, elaborating a risk appetite framework, drafting or updating policies, procedures, operational processes and methodologies, as well as defining first and second-level controls.

Whether this is in preparation for regulatory visits, or as part of a plan to address deficiencies identified by your own controls, we have extensive experience in designing robust frameworks at a global scale for major investment management firms, and are happy to put this experience at your service.

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