As financial markets become more unstable, governments and regulators focus their attention on businesses and the policies and procedures they have in place to protect investors.
The legal and regulatory environment has become increasingly demanding and complex.
Regulators can audit your business at any time, unannounced, and you need to be prepared. The incidence of brokers and financial planners (as individuals and as organisations) suffering heavy fines, licence suspension and revocation continues to rise along with regulator and customer expectations.
While the cost of compliance has become significant, the costs and ramifications of non-compliance are enormous. Sophie Grace can assist you with this preparation. Your business will never need to be uneasy about random inspections from regulators.
Good compliance is essential for the survival of your business. Compliance must be embraced and promoted from the most senior management of an organisation down to its most junior levels. Sophie Grace will assist you to implement a successful and effective compliance culture with visibility, consistency and sincerity.