May you live in interesting times is an
often quoted Chinese proverb, regularly
referred to as the Chinese curse. But did
you know that it is sometimes followed by a
second curse? May you come to the attention
of those in authority.
This is precisely what Compliance Support
Services is designed to prevent or
manage. Anyone operating in the financial
services in these times knows that coming to
the attention of the authorities can be
time-consuming and very costly, both to your
reputation and your balance sheet.
Compliance Support Services
offers highly skilled assistance to firms in
the investment industry in Canada. We work
to ensure your compliance processes, systems
and training are up-to-date and will satisfy
industry regulators. We also provide
compliance and enforcement assistance once a
regulator has intervened.
We are specialists in regulatory
requirements and operational processes for:
Investment Fund Managers
Advisers/Portfolio Managers
Investment Dealers
Mutual Fund Dealers |
Exempt Market Dealers
Scholarship Plan Dealers
Restricted Dealers |
By working closely with you and your team
and with the regulators, we:
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·
work through the technical legal
and regulatory requirements and
tailor them to work with your
business; |
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·
help identify your areas of
greatest risk and build ways to
minimize them; |
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· help manage enforcement actions
or work as consultants appointed
as part of terms and conditions
to registration to bring about
the best resolution possible for
your firm; |
With years of training, education and
professional expertise in law and regulation
in the financial services and with extensive
on-the-ground operations know-how,
Compliance Support Services can assist
with your most pressing compliance demands.
Contact us.
We can help.!
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