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Review regulatory
audit reports and assist in responding appropriately and fully
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Review existing policies
and procedures for compliance with regulation and industry best
practices and make recommendations for change
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Provide a
compliance policies and procedures manual based on and following
the MFDA Rule format
- Regulatory updates may be provided as an additional service
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Develop or redesign a
strategy for ongoing risk management
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Advise on the impact of
proposed regulation
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Based on a review of
policies and procedures, make recommendations for training
and/or seminars for various groups e.g. Board of Directors,
sales representatives, compliance staff, etc.
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Review and
report on existing sales practices and advertising
- Ongoing support in this area is available
-
Review and
report on existing Dealer website and AP proposed and existing
websites (includes BLOGS)
- Comprehensive review which includes;
- dealer identification
- source of product
- appropriate disclaimers
- privacy information
- Reviews for audit purposes, to meet close supervision
requirements, etc.
- Ongoing support in this area is available
-
Develop branch
audit strategy; execute branch/sub-branch audits and provide
recommendations report
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Assist with complaint
resolution
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Resource on Retainer
