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Regulatory Framework

Regulatory Compliance Assessment and Advice

It is the duty of an organisation to maintain and monitor the modification of laws which govern a business not the least because the result of violating regulatory compliance results in legal punishment, fines, loss of reputation and funds.

We accompany you through these changes to ensure that your organisation accurately conforms the processes that keep it up and running with laws, regulations, guidelines and specifications relevant to your business so that the workflow process becomes transparent, fluid and seamless.

We also provide assessment and advice in relation to compliance tools and programmes in order to strengthen your first line controls.

Risk Management Policy

We assess and identify your exposure to risks and establish risk management process in order to understand and mitigate risks inherent to your business.
We help you devise your risk management policy which sets out the process, methods, and tools used to manage and mitigate the risks within your organisation.

Regulatory Reporting & Filings

We provide you with ongoing Regulatory Compliance support. We back you in your regulatory filings such as FATCA, CRS, just to name a few.

Privacy, Information Management & Provision of Data Protection Officers (DPOs)

We advise, create and manage your framework, governance and processes in order to ascertain your compliance with data protection, privacy and confidentiality laws and regulations, including tackle the challenge of achieving GDPR. We also provide outsourced DPOs for entities incorporated in Mauritius.

Conduct, Culture and Ethics

We establish the necessary framework to convey to employees and third-party vendors and suppliers the importance of having an ethical culture in order to mitigate the risks associated with actions by such agents that can lead to negative outcomes for clients and markets.

This also includes, among other things, the development, implementation and/or assessment of a Compliance risk appetite, Code of Conduct, internal policies and procedures such as Management of Conflict of Interest.