DOCUMENTATION

All regulated entities are required to put in place policies and procedures that reflect their adherence to the applicable regulatory regime. This helps to provide structure, clarity and clear parameters that act as guiding principles for you to operate within. Our team will draft these documents for you from scratch or amend your existing policies to ensure that you are up to date with your regulatory requirements. This could encompass the following documents and more:

  1. Risk Management Policy & Process
  2. Compliance Manual
  3. Enterprise-wide Risk Assessment Framework
  4. Technology Risk Management Policy
  5. AML/CFT Policy
  6. Environmental Risk Management Policy
  7. Terms of Reference of Oversight and Governance Committees
  8. Outsourcing Policy
  9. Data Protection Policy