Compliance Monitoring Services

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To meet the increasingly higher expectation of regulators and for clients to control expenses on compliance personnel, ComplianceDirect provides flexible solutions on compliance monitoring services for banks and licensed corporations:

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

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

 

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

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