COMPLIANCE SERVICES FOR PROVIDERS & USERS
COMPLIANCE SERVICES FOR PROVIDERS & USERS
The need for Compliance Due Diligence can arise for both Service Providers and Service Users on such occasions as:
- New contract negotiations
- Merger or Acquisition
- Special projects or investigations
Normally, either a Service Provider or a Service User will instruct us to report to them giving an objective appraisal of the degree to which the service complies with all relevant regulatory and/or service obligations.
Outsourcing
Where services are outsourced, we will help firms to ensure that regulatory and service standard obligations are measured and monitored in order to meet FSA requirements. Service Users must ensure that all obligations are fulfilled even where services are outsourced or delegated. AICORP Consulting is geared to assist both Service Users and Service Providers.
Fund Administration
Where fund administration is outsourced, we will review the relationships between Service Provider and Service User. We will assess and consider oversight and control obligations that may arise. We will ensure our clients are aware of any compliance requirements and that these are implemented.
Middle and Back Office Controls
Where our client’s firm is responsible for the middle and back office compliance delivery or oversight, we will ensure that flexible but robust monitoring procedures are established. We aim to ensure there are no regulatory breaches so they can concentrate on their business.
Additional Work
Whatever or whenever you wish to implement, please note that we are ready at your door step to serve you. If you would like more information please contact us today.