GRC-MAESTRO BROCHURES

Read about some of the wide range of GRC-Solutions

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"If you can fully disclose your actions to your regulator, with a clear conscience, you are probably compliant!"

Adrian Pay, Co-founder of Dynamic-GRC

AML Governance

Regulators require firms to draft and implement detailed policies, procedures…

AML Monitoring

egulators expect firm to ensure their procedures and controls to …

AML Risk Evaluation

Regulators require firms to undertake a periodic AML Risk Evaluation to …

Authorised Representatives

Do you need to automate your Authorised Representative (AR) monitoring and…

Best Execution

“Best Execution” is core to investment managers, clients expect it …

Client Suitability

Regulators require firms to have detailed information on their client’s…

Corporate Governance Management

Regulators and listing exchanges require firms to implement and follow…

Customer Complaints

Regulators set requirements to ensure customer/client complaints are…

Cyber-Security Management

The Maestro-Solution for Cyber-Security Management consists of a collection …

Employee Code Of Conduct

Rules are rules, and regulators require firms to have strict rules …

Employee Personal Trading

There is nothing wrong with employees undertaking personal investing, but…

Errors & Breaches Management

Errors & Breaches can happen! Regulators expect firms to have a thorough control…

Ethics & Compliance Culture

Regulators require firms to implement and evidence a compliance culture

Financial Crime Prevention

The UK FCA have published a detailed guide to preventing financial…

Fund Governance Compliance

Fund compliance starts at the top – with Governance.

Investment Control

Clients and regulators require Investment Managers/Advisors to exercise…

Outsourcing Management

The Maestro-Solution for Outsourcing Management consists of a collection of…

Product Due Diligence: Distributor

Regulators require firms to closely control the financial products and services…

Product Due Diligence: Producer

Regulators require firms to closely control the financial products and services …

Vendor Contract Management

The Maestro-Solution for Vendor Contract Management consists of a collection …