Financial Services Firms are working under increasingly complex regulations in an ever-competitive market. Where reputation with regulators, clients and other stakeholders is paramount getting it wrong can cost a firm and its employees more than just a fine. In this environment regulatory risk must be a key business risk which requires dedicated employees and a support structure that ensures the firm is not only doing the right thing but can demonstrate this as and when required.
Effecta assists firms from authorization to implementation to provide comfort and guidance to the firm and its senior managers. Effecta can work with all levels of the organization including the Board, Senior Managers, Compliance personnel etc. This can include Regulatory Advisory, Compliance support.