Firms that provide regulated financial products and/or services then firms need to ensure they are correctly licensed in every jurisdiction they operate.
GRC-Maestro ensures regulated firms are fully compliant by formalising control over:
- Scope: know which jurisdictions your firm is operating and the regulatory requirements in each jurisdiction
- Licensing: ensure your firm(s) have the regulatory licenses required in each jurisdiction they undertake business
- Compliance: implement the policies, procedures and controls required to comply with the regulatory license(s) held
- Monitoring: periodically check that the policies are updated, procedures implemented and controls operating
- Record-Keeping: maintaining the data required by regulators to evidence compliance
Our Regulatory Solutions help firms formalize processes, checks and controls for governance, risk and compliance. For more information click below: