Regulators require firms to draft and implement detailed policies, procedures…
egulators expect firm to ensure their procedures and controls to …
Regulators require firms to undertake a periodic AML Risk Evaluation to …
Do you need to automate your Authorised Representative (AR) monitoring and…
“Best Execution” is core to investment managers, clients expect it …
Regulators require firms to have detailed information on their client’s…
Regulators and listing exchanges require firms to implement and follow…
Regulators set requirements to ensure customer/client complaints are…
The Maestro-Solution for Cyber-Security Management consists of a collection …
Rules are rules, and regulators require firms to have strict rules …
There is nothing wrong with employees undertaking personal investing, but…
Errors & Breaches can happen! Regulators expect firms to have a thorough control…
Regulators require firms to implement and evidence a compliance culture
The UK FCA have published a detailed guide to preventing financial…
Fund compliance starts at the top – with Governance.
Clients and regulators require Investment Managers/Advisors to exercise…
The Maestro-Solution for Outsourcing Management consists of a collection of…
Regulators require firms to closely control the financial products and services…
Regulators require firms to closely control the financial products and services …
The Maestro-Solution for Vendor Contract Management consists of a collection …