Scope of Services (Illustrative)

• Unlimited telephone and email consulting
  Responsive advisory support for routine compliance queries and urgent matters, subject to engagement terms.
• Client portal access (no additional charge)
  Secure online portal with training videos, a compliance calendar, templates, forms, policies, and checklists.
• Quarterly compliance conference call
  Structured reviews of compliance KPIs, thematic issues, remediation status, and upcoming regulatory milestones.
• Annual mock regulatory visit
  On-site/remote mock inspection with a written report, findings, risk ratings, and prioritized recommendations.
• Regulatory return support
  Review of Financial Resources Return (FRR) and Business & Risk Management Questionnaire (BRMQ) for completeness, consistency, and red-flag indicators prior to submission.
• AML/KYC screening support
  Name screening and documentary checks to support customer due diligence and ongoing monitoring.
• Monthly regulatory updates & event reminders
  Curated legislative and regulatory developments, circulars, and deadlines relevant to your activities.
• Compliance documentation pack
  A maintained compliance folder with required forms, registers, and a procedural manual aligned to current practice.
• Policies & Procedures Review
  Gap analysis and enhancement of compliance policies, desk procedures, and control narratives.
• Compliance training
  Role-based training for licensed representatives, ROs, senior management, and control functions, with attendance records.
• Regulator correspondence management
  Support in drafting responses and managing enquiries, information requests, and follow-ups.
• Ad-hoc Advisory and Remediation Assistance
  Targeted help on special projects, incident reviews, remedial actions, and independent attestations.