Compliance Monitoring

To meet the increasing expectations of regulators and for clients to control expenses on compliance personnel, ComplianceDirect provides flexible solutions on compliance monitoring services for banks and licensed corporations.

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We will assist you by:

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• Providing services on first-line-of-defense testing and second-line-of-defense compliance monitoring reviews on investment suitability and client orders, performing telephone reviews for valid client investment instructions, conducting employees’ personal trading reviews, etc. 

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• Conducting reviews on specific internal controls such as validity of client money transfer instructions, third party payments, client information confidentiality, etc.

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• Conducting mystery shopping exercises on selling practice of investment and insurance products for retail banks.