Maestro-Solutions for

Financial Regulatory Licensing

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Financial services license compliance is critical. No license = no business!

Everyone providing financial services has to be licensed or authorised. Failure to be correctly or fully licensed is usually a criminal offense!

Regulators require businesses to have comprehensive controls in place before granting a license or authorising a business and the controls have to be effective.

GRC-Maestro supports your Regulatory Licensing in a Maestro Solution with:

  • Maestro-Templates: based on your specific licensing requirements
  • Schedules: periodically sending Maestro-Forms to designated control staff
  • Incidents: evaluate responses with automatic and manual incident creation, reporting and resolution

GRC-Maestro evidences to regulators that your business is operating in accordance with it’s license.

Resources

Regulatory Jurisdictions