OUTSOURCED COMPLIANCE

Ingenia offers a full suite of outsourced compliance taking care of all your regulatory compliance obligations for you. Ingenia’s compliance team will assess and monitor your clients, the standing of your staff and assist you in evaluating and monitoring your business partners.

In addition, Ingenia will monitor your investment processes and review your investment advice. We will help you prepare amendments to your policies and procedures and prepare and submit your regulatory reporting. No matter what the scope your company requires, Ingenia offers the right flexible solution to meet your needs on a regular and ad-hoc basis as required.

Our core Outsourced Compliance services include:

  • Drafting of a compliance framework including policies and procedures
  • Review and proposal of amendments to your policies and procedures
  • Monitoring of regulatory requirements
  • On-boarding and on-going KYC and CDD
  • Transaction monitoring
  • Regulatory HR Support
  • Maintenance of statutory registers, e.g. securities register, outsourcing register
  • Investment reviews: balanced score cards, processes and review of breaches
  • Regulatory assessment of new services, products and organisational structures
  • Preparation, review and filing of regulatory returns and surveys
  • Firm-wide compliance training
  • Client complaint management
  • Personal data protection