Advice & Troubleshooting

The Compliance Consultant is your go to resource when regulatory issues arise. As an industry veteran Paula has dealt with a myriad of complex problems and queries and as such is a great source of advice – if she can’t answer your question straight away she knows where to find an answer. We can assist with any of the following:

• Responding to ad hoc queries and requests for information from regulators
• Preparing for and undergoing regulatory inspections
• Ensuring that your staff meet Fitness and Probity and Minimum Competency requirements on an ongoing basis
• Interpreting changes to regulatory requirements in the context of your business and assisting you to update processes and procedures as required
• Responding appropriately to complaints from clients. Paula has extensive experience responding to complaints to the Financial Services and Pensions Ombudsman as well as in managing litigation
• Any other Compliance queries that “keep you awake at night”