风险与合规

风险与合规

风险与合规

We provide outsourced compliance services for institutional asset managers to ensure that you remain compliant with the rules and regulations set out by local regulatory bodies. We work with you to ensure robust systems and controls are in place and provide additional compliance or risk management support where needed. Our knowledgeable team specialises in compliance across multiple sectors from asset management to private and investment banking.

Equiom’s managed compliance solutions are the perfect complement to any organisation, delivering considerable benefits. Our hands-on experience means we help our clients develop and manage effective compliance programs to identify issues before they become violations.

This service is ideal for those thinking of setting up in a new region, looking to consolidate an existing business, in need of temporary cover for unexpected staff absences or even wishing to undertake additional compliance training. 

Our compliance and risk management services include: 

  • Providing suitable individuals to act as Compliance Officer and / or Money Laundering Reporting Officer (MLRO) on an outsourced basis 
  • Training and mentoring or ad hoc support for an existing in-house compliance / anti-money laundering (AML) function
  • Assisting in preparation for regulatory risk assessments or responding to enforcement proceedings
  • Conducting mock interviews to prepare individuals for authorisation by the local regulator
  • Compliance and AML focused audits, reviews or special projects
  • Creating mandatory compliance, AML and counter terrorist financing materials
  • Delivering all aspects of compliance and AML training as required by the regulator

We provide advice and guidance on:

  • A firm’s ability to meet local regulatory requirements 
  • The duties and responsibilities of Authorised Individuals 
  • A firm’s policies, procedures, systems and controls 
  • Regulatory risk assessments, thematic reviews or regulatory visits 
  • The set-up of the compliance function and creating a strong compliance culture
  • Data protection advisory

Benefits of outsourcing your compliance function include: 

  • Access to a pool of subject matter experts
  • A convenient and cost-effective way to address regulatory issues
  • Swift access to additional support in times of change, such as firms facing sudden growth and / or increased regulatory demands
  • Ease the burden on internal infrastructure 
  • Address a short-term or long-term shortage of talent
  • Help to navigate complex and continually changing regulations

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For a specific information on this service choose a region below:

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由于商业用途,该页面未被完全翻译为中文。若您需要与一位讲中文的顾问联络,请邮件联系 enquirieshk@equiomgroup.com, +852 3188 1143, 谢谢。

Equiom quote/image

我们目前的业务成功就是有力的证明。我们拥有全球视野、全球联结和良好的企业文化 - 这确实让我们与众不同。

昊诚的独特方式
Steve Le Seelleur, Managing Director, Equiom Jersey
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如果您有任何问题,或者想了解昊诚的更多后续动态,请选择以下选项之一。

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