Compliance Support

A Brief Overview

Comsure provides regulatory and compliance consultancy and support to financial services business either during their pre licensing or post licensing stages.

Comsure is highly experienced in these areas in a variety of jurisdictions and industry sectors and is perfectly resourced to assist you with your compliance and related requirements.

The depth of knowledge and our practical hands on experience provides licensed firms with cost efficient and effective support.

Key Attributes

1. Pre licensing assistance and advice including liaising with the regulators on the licensing requirements and preparing the licence application forms and supporting documentation as required
2. Post licensing regulatory and compliance support which may include supporting the Compliance Officer and/or Money Laundering Reporting/Compliance [Prevention] Officer
3. Preparation and ongoing maintenance of Compliance and AML Manuals;
4. Regular updates on changes in regulations, rules etc. as relevant to a client’s business;
5. Staff training;
6. Due diligence and regulatory health checks;
7. General consultancy on all matters of a regulatory or practical compliance matter.