MOCK REGULATORY EXAMS
Typically we are engaged by firms either to help them set up a compliance infrastructure in preparation for becoming regulated or to undertake a gap analysis and redesign of an existing compliance infrastructure.
Our thorough knowledge of industry best practice and strong relationships with the regulators enable us to develop and design a concise, tailored and effective compliance infrastructure for our clients. One of the biggest issues that the regulators have is that compliance policies and procedures are not properly tailored to the business. With this in mind we ensure that we develop policies and procedures that are customized to our client’s business.
Additionally, Optima is unique in having a global team of specialists that understand global, not just domestic, compliance requirements. This enables us to add value on a number of levels. For purely domestic firms, we are able to provide policies for areas of regulation that may not be local but that they are still effected by, for example AIFMD. For global firms we are able to design a global set of policies and procedures. This significantly increases efficiency and can save our clients a lot of time, complexity and money.