Compliance Support Services- Helping your firm reduce risk


“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:

·         work through the technical legal and regulatory requirements and tailor them to work with your  business;

·         help identify your areas of greatest risk and build ways to minimize them;

·        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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