Regulatory and Compliance
One of the results of recent market conditions has been increased regulation. This requires a highly specialized approach in dealing with governance, compliance and regulatory duties. IFS leverages on its extended relationships with regulators and policymakers to offer assistance in a range of areas.
Key services offered include:
- Compliance reviews;
- Compliance/ MLRO support;
- Review and drafting of manuals, policies & procedures;
- Compliance monitoring programs;
- Global best practice advisory;
- Outsourced “Authorised Individual” appointments for Compliance & MLRO functions;
- Drafting compliance policies & procedures;
- Regulatory briefings on all key onshore & offshore fund jurisdictions and distribution destinations;
- Assistance in preparation for regulatory assessments;
- Introductions to & meetings with key regulators and industry interest groups in relevant jurisdictions;
- Providing independent directors/ advisory board/ investment committee members to funds/ investment vehicles;
- New director induction packs/ training;
- Listing of fund directors’ duties (executive & non-executive);
- Drafting fund board and committee charters;
- Fund vehicle board/ committee efficacy reviews;
- Overall governance reviews, inclusive of advising on senior management responsibilities;
- Drafting & implementing relevant policies & procedures;
- Devising and implementing proportionate and risk-based programs that comply with international anti-bribery and corruption regulations when dealing with US, UK & European entities
- Reviews for US, UK & European on MENA counterparts relating to their adherence to international anti-bribery and corruption regulations