MOCK REVIEW
Our team go through compliance and operational issues to ensure compliance with regulations and cover key compliance areas during an on-site review as follows:
- Review trading practices
- Conduct risk assessments on operation and office in general
- Conduct assurance reviews
- Review privacy policy and statements, data protection and information security policies, business continuity plan
- Review and update staff code of ethics and procedures
- Review Anti-money Laundering policies and procedures
