OUTSOURCED COMPLIANCE SERVICES

Kaith Consultants is a top tier Investment & Business Consulting firm.

OUR OFFSHORE SOLUTIONS

OUTSOURCED COMPLIANCE SERVICES

Introduction;

With regulatory compliance requirements ever increasing, along with demands on in-house compliance teams, the risks of failing to meet these demands has also increased. The pressure to be compliant comes not only from the regulator but also from clients and investors who view non-compliance as a red flag for committing new funding. Managed compliance function (i.e. compliance outsourcing solutions) can often provide the best strategy to resolve the issue.

Many financial services firms typically don’t have the requisite in-house resources and experience to meet regulatory requirements while larger financial services firms suffer from extraordinary compliance costs to ensure all necessary tasks are completed

Our outsourced compliance solutions offer below benefits;

  • Reduced regulatory risks and costs
  • Frees up internal resources and helps financial services firms focus on core business
  • Full range of compliance services ensures that regulatory changes are implemented on time across the entire organization

Our solutions:

    REGULATORY AUTHORISATION/LICENSING

We have successfully assisted Securities Dealers / Forex Brokers, Advisory Businesses, Venture Capital Companies, Boutique Asset Managers, Private Equity Fund Managers and Hedge Fund Managers obtain regulatory approval across multiple jurisdictions

By combining technical and fundamental understanding of the big picture we are able to assist from incorporation to initial set up whilst advising and guiding you on the regulatory requirements relevant to your business.

    ONGOING COMPLIANCE SUPPORT SERVICES

Our compliance solutions are uniquely designed to mitigate your businesses’ regulatory compliance risk. Subject to Kaith being appointed as compliance function service provider in terms of compliance agreement our offering include:

  • Liaising with the regulator for speedy implementation and handling of any queries;
  • Regular reviews including quarterly/monthly onsite compliance review visits
  • Provide general compliance consulting and advisory services;
  • Drafting of relevant specimen compliance policies and charters as and when required
  • Ensuring relevant compliance policies are up to date;
  • Provide a compliance monitoring plans
  • Provide regular compliance updates and how changes in legislation/regulation may impact business;
  • Provide assurance to level of compliance;
  • Submitting relevant regulatory compliance reports/ declarations;
  • Provide detailed quarterly/ monthly internal compliance reports;
  • Perform monitoring and sampling, including but not limited to: social media, financial soundness, client onboarding processes and documentation, anti-money laundering/ combating the financing of terrorism procedures, compliance policies, key individuals/ representatives fit and proper; supervision; conflict of interest;

Further Support include:

  • Support via telephone; WhatsApp & email.
  • Dedicated regular onsite visits and portfolio mandate monitoring. We aim to not only identify and report on the level of compliance but also to assist management with the items identified.
  • REGULATORY TRAINING

Regulatory compliance training plays an important role in your organization by ensuring that all employees are kept up to date of the relevant Acts/laws your business is operating in. In some instances, failure to provide ongoing training to employees may result in regulatory action. We offer affordable, easy to understand, online and onsite regulatory training courses.

    DRAFTING OF LEGAL CONTRACTS, POLICIES AND PROCEDURES

We are able to assist with drafting and interpreting legal agreements pertaining to discretionary management agreements, advisory agreements, employment contracts, private placement memorandums and other commercial agreements.

    SOFTWARE SOLUTIONS

Through our partners we offer Comprehensive AML/CFT screening solution. We offers state-of-the-art online transactional screening products in order to mitigate your anti-money laundering/combating of the financing of terrorism risk in a fast and cost-effective manner.