Regulatory Compliance

Monitoring your companies adherence to regulatory requirements

Athrú offers services that will provide peace of mind to any size business, big or small.

Service includes

  • Conduct high-level audits against regulatory requirements - The audit will be against the regulatory requirements touching on high-level outcomes to demonstrate compliance.
  • Conduct topical regulatory audits specific to legislation - Any non-compliance found during the high-level audit might require for more topic specific audits to find the failure at ground-level that resulted in the non-compliance finding.
  • Assist with the formulation of a Regulatory Universe - Identifying the pieces of legislation that has a direct impact on the sustainability of your organisation allowing for the prioritizing of any audit and monitoring projects you will embark on.
  • Corporate Governance audits against company policy and procedure - These audits allow for the monitoring of the effectiveness of your current processes and procedures, alignment to regulatory, risk or best practice changes. This further allows for the annual review of policy and procedures as required under various pieces of legislation.
  • ISO27001 audits - Conduct an audit in preparation of ISO27001 accreditation or to allow for continuous adherence to the standard and alignment to any changes to the standard.
  • Key Individual Services - Appointment as an external Key Individual for a Category 1 Financial Services Provider that requires services of someone with experience in Advice and Intermediary services linked to the following products: 1.1, 1.2, 1.3, 1.6, 1.20, 1.21, 1.22 and 1.23.
  • Due Diligence - Validating outcome of required checks during recruitment phase i.e., criminal, qualification, process adherence to demonstrate procedural fairness or against regulatory requirements i.e. KYC, FICA or overall company health check.
  • Perform due diligence checks - Conducting the relevant checks during recruitment phase or as part of annual Fit and Proper reviews as required by some regulators or overall health checks in preparation for possible acquisition.
  • Facilitator - Facilitate introductory sessions to various regulatory bodies and legislation as it applies to your business.
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