THEMATIC COMPLIANCE REVIEWS

As well as the mock regulatory exams and periodic general compliance reviews, we also provide compliance reviews on a specific theme or topic. For this service we focus not on the overall compliance program but on a specific area of the program. Typical thematic reviews that we undertake include topics such as:

  • Marketing
  • Inside information
  • Best Execution
  • Valuation
  • Asset Allocation
  • Email testing

Based on our knowledge of the regulators and understanding of industry best practice, we have developed specific methodologies for all parts of the compliance program and therefore these thematic reviews can provide real value and assurance to our clients.

We are also happy to develop a customized review on a particular topic as and when asked for by a client.