Our Services

Our Services

>> About Us > Consulting Team > Our Services

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In order to meet individual needs of clients, the co-founders and consultants of ComplianceDirect maintain a wide range of compliance and regulatory knowledge experience in the banking, brokerage, wealth management, fund management and insurance industries. 

Services include:

• Regulatory license applications and establishment of licensed entities

• Ongoing compliance advisory services

• Special compliance advisory services

• Compliance monitoring services

• Compliance and AML/CTF training

• Examples of other value-added services - 1. Setting up Investment Suitability Framework

                                                                            2. Setting up new business lines

                                                                            3. Review client agreements, account opening                                                                                           documents, client declaration forms, etc.