Regulatory compliance and audit

Across all industries, regulatory compliance requirements are becoming more demanding and complex. Legislation is evolving, bringing increased accountability for organizations who are already heavily regulated.  

Our consultants have the legal and technical knowledge to provide you with tailored solutions. We help you view  the scope of legislative requirements through regulatory obligation assessments and risk assessments.

We establish the policies, procedures and lines of accountability necessary to meet your obligations, with the overall objective to minimize the associated costs and complexity involved.

Meeting compliance requirements

We provide services to help you meet your compliance requirements across the following regulatory regimes:

  • AML & CTF
  • MiFID
  • Consumer Protection Code
  • Solvency II
  • Fitness and probity 
  • Minimum competency requirements 
  • Payment Services Directive

We can also provide internal and external compliance audit support to help organizations prepare for general audits and themed inspections by the Central Bank.

Here is how we can assist you in meeting your compliance and regulatory obligations:

  • Regulatory obligation assessments to provide an overall view of your compliance health
  • Anti-money laundering reviews    
  • Compliance monitoring plans (risk-based)
  • Compliance policies and procedures
  • Drafting of compliance manuals
  • Compliance testing frameworks
  • COBIT frameworks
  • ISO/IEC 27001 risk assessments