Regulatory Compliance Documentation

Inadequate and ineffective compliance documentation can expose your firm to enormous risk.

Regulatory Compliance Documentation

ICMC leverages its expertise to ensure that your firm is compliant with regulatory guidelines and protocols. Our goal is to help grow your business and avoid hidden issues by providing compliance documentation that is tailored to your specific industry and company profile.

 

Examples of Compliance Documentation include:

  • Compliance Manuals
  • AML & CTF Manuals
  • Corporate Governance Manuals
  • Operating Procedures Manuals
  • Code of Conduct/Ethics
  • Risk Management Framework

Regulatory Compliance Documentation

Inadequate and ineffective compliance documentation can expose your firm to enormous risk.

Compliance Manual

We work with your firm to build comprehensive, easy-to-use, and tailored compliance manual that interlinks with your firm’s group policies. Our manuals satisfy the precise needs of your business and serve as a powerful tool and ready reference for use by compliance personnel and staff alike

AML & CFT Manual:

We can prepare Anti-Money Laundering (AML) and Combating the financing of terrorism (CFT) Manuals tailored to your Firm. These documents set out in appropriate detail, the procedures and protocols for complying with regulator requirements that govern day-to-day operations. Our

manuals are accompanied by supporting procedures which are reflective of the size, nature, and scope of your business activities. Manuals incorporate:

  • Client fact sheet, adaptable to the changing circumstances of your clients
  • An easy-to-use tool for AML/CTF reviews in the event of trigger events or on a regular Know Your Customer review cycle

Corporate Governance Manual:

A good corporate governance framework starts with understanding where your business is exposed to conduct risk and builds policies and procedures to mitigate financial, legal, and reputation harm. Each manual includes:

  • Shareholder expectations regarding conduct
  • Board members roles and responsibilities
  • Description of committees required to provide independent oversight of the board
  • Assessment of risk management arrangements already in place with management, to include systems and controls, and clear remuneration policies and reward structures
  • Transparent reporting and disclosures requirements

Taken as a whole, a Corporate Governance Manual will provide stakeholders the assurance that your Firm’s activities are conducted with their interests at heart. Our Corporate Governance Manuals are designed to describe client’s specific oversight arrangements and embed these local arrangements within a broader group structure, where applicable.

Operating Procedures Manual:

The objective of Standard Operating Procedures is to lay out practical steps for the conduct of licensed financial services activities, while ensuring adherence to all applicable laws and regulations, firm’s policies and procedures, systems and controls.

Depending on the scope of your Firm’s license, the procedures will cover:

  • Client acceptance and on-boarding
  • Transaction processing – such as order receipt, transmission, amendment, cancellation and confirmation
  • Customer service
  • Complaint handling procedures
  • Day to day procedures for monitoring adherence to relevant policies

Code of Conduct/Ethics:

Our consultants work with you to develop a concise and easy to understand statement of your Firm’s expectations in the following areas:

  • Staff Code of Conduct: Honesty, truthfulness and integrity
  • Compliance with laws regulations and policies

Additionally, we can detail specific aspect of your staff’s conduct specific to staff’s dealings with your clients. Such specifics include:

  • Keeping client information confidential
  • Providing accurate and truthful reports
  • Managing conflicts of interest and avoiding market abuse
  • Inter-personal conduct between your staff
  • Establishing a culture of respect and non-discrimination
  • Providing a means for whistleblowing

Risk Management Framework and Manual:

We have extensive experience in assisting firms to create, develop and maintain their risk management systems. The nature of assistance can be tailored to your specific needs and can include:

  • Advice on the design of your Risk Management Infrastructure;
  • Reviews to determine the effectiveness of your Enterprise Risk Framework
  • Assistance in the preparation of the Risk Register
  • Assistance in the preparation of your Internal Risk Assessment Process (IRAP) and Internal Capital Adequacy Assessment Process (ICAAP

Our Clients

  • Asset Management
  • Banking
  • Brokers & Dealers
  • Corporate Finance
  • Fund Management
  • FX
  • Wealth Management

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