When You Need Ad Hoc Compliance Services
Regulatory issues can arise at any stage of a business. For example, you may be assessing a new product, reviewing a proposed transaction, handling a complex KYC matter, or responding to the regulators, and you may need an independent view before proceeding. In these situations, our ad hoc regulatory compliance service provides focused support based on the regulatory issue you need resolved.
What We Can Help With
- Specific compliance support — Engagements scoped around specific issues. E.g. implementation of Enterprise-Wide Risk Assessments, Business Continuity Management reviews and testing, etc.
- Regulatory questions — Clarity on specific regulatory requirements affecting a product, transaction, business activity or compliance decision.
- Regulatory queries and requests — Support in reviewing and responding to questions or requests for information from regulators.
- Second opinions — An independent perspective on proposed compliance approaches, decisions or regulatory interpretations.
- New products and transactions — Understanding regulatory considerations arising from proposed products, transactions or changes to business activities.
Ad Hoc or Ongoing Compliance Support?
Our Ad hoc compliance services are suited to a defined regulatory question or specific matter, and you may use this to understand a little more about how we work with you. Where your business requires continued regulatory monitoring, updates and ongoing compliance oversight, our Ongoing Compliance Support may be more appropriate.
We can help you determine the level of support that fits the nature and complexity of your regulatory requirements.