We help you to stay abreast of regulatory changes and ensure that your funds comply with all legal and regulatory requirements. We advise and assist you on matters of compliance with all applicable laws and regulations on an ongoing basis, and we manage all scheduled and ad hoc correspondence with the regulator on your behalf.
We have in place sound policies and procedures, including a compliance charter, allowing us to: minimize the risk of failure to comply with any legal and regulatory obligations; assess the significance and possible consequences of any associated risks (e.g. reputational risk, litigation risk, risk of sanctions); put in place appropriate remedial actions to address any potential or identified deficiencies.
If you think compliance is expensive, try non‑compliance.
Paul McNulty
