100% Enforcement of Compliance & 24-Hr Surveillance
Challenges
- Deploying patches onto servers in a complex environment.Dealing with the portfolio managers on the compliance frameworks.
- Liaising and answering regulatory queries.
- High regulation norms from different jurisdictions and regulators across geographies.
- 100% enforcement of the firm’s compliance policies.
- Implementing new compliance programs.
Services
- Provided compliance services for our client whose offices are spread across 16 countries.
- 24 hours surveillance support covering the global markets.
- Flexibility in customizing to the client’s compliance oversight and simplifying monitoring.
- Prepared compliance standard operating procedures and process maps on newly introduced compliance programs.
Results
- Surveillance and regulatory compliance from a single location across geographies.
- Certifications are done and sent to the regulators on time.
- Improved efficiency in the operating procedures and process.