Compliance
We have a wealth of experience in providing outsourced compliance solutions to both regulated and unregulated businesses.
Compliance support can be provided in a flexible way to most effectively meet your business needs.
Compliance support can cover a range of scenarios. We have expertise in Due Diligence Reporting for Mergers & Acquisitions, providing Enhanced Due Diligence Reports for complex or high risk structures, working with businesses on key regulatory or compliance projects, or provide general ongoing compliance support.
At a more fundamental level, Kesmi can also provide support with policies and procedures, ensuring that all systems and processes comply with regulatory requirements, and in reporting and communicating to the key stakeholders within the business.
S O L U T I O N S
Interim compliance management
Turnkey compliance service to cover holidays, sick leave or other staff absences or to provide temporary cover when trying to recruit a permanent resource. This also includes business crossover cover to ensure essential functions are maintained.
Ongoing In-house compliance
This could include a set number of hours per month or days per week to meet basic compliance requirements.
Compliance policy and procedure
This may be to regularly review and update procedures, ensure procedures are compliant with current regulations, or to bring procedures in line with actual practices.
Annual health checks
Including a review of procedures against regulations and a report to the board in line with regulatory requirements.
Mentoring and training
Support can be provided to work alongside employees new to their roles to provide additional support and guidance. This could include a junior team, or MLROs new to the position.
Due Diligence Reporting
This may be high level reporting as part of a Merger or Acquisition, or enhanced due diligence at underlying client level.
