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- Regulatory Compliance & Reporting
One of the lessons learned from the corporate reporting failures of recent years is that a narrow view of compliance was partly to blame. Compliance needs to be viewed as a natural extension of the governance duties shouldered by top management and corporate boards. Indeed, compliance is a governance matter in that only the firm's leaders are in a position to set the tone and establish the accountabilities by which a truly effective compliance function can operate. Moreover, only good governance can ensure that compliance is aligned with the company's business objectives and risk management strategies — and is thereby adding real value (and not just cost) to the organization. Ultimately, the goal is to ensure that the spirit of compliance — as well as the letter of the law — is embraced in every corner of the enterprise.
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If this is your situation |
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You don't know whether your company is in compliance with regulatory rules. |
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Your company's compliance costs are out of control. |
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You need to plan for staff training in light of new compliance issues.
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Proposed regulations might destroy your business or lead to a loss in competitive advantage. |
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You are concerned about the reputational risk from failing to comply with regulations. |
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You want to confirm that your company's sales force is complying with the sales and marketing code of conduct. |
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How Chartered-Dubai can help you |
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For all organizations engaged in activities that come under the control of a regulator, CHD provides support, advice, and assurance to help you manage your regulatory risks. In an ever-changing regulatory environment, we help ensure that you identify, manage, and control any existing and future regulatory risks. A proactive rather than a monitoring approach to regulation is now a full time strategic necessity.
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Our team consist of experienced regulatory risk specialists, including ex-regulators, who not only know the rules, but have also implemented and assessed compliance against them. Our people can help you at the strategic level — by maximizing any competitive advantages from regulation through to the operational level and by minimizing the costs and disruptions to your business, thereby freeing up management time in the process.
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Assessment of your current and future regulatory risk profile and impact of new regulations |
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Effectiveness reviews of current compliance departments |
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Independent assurance on regulatory financial statements |
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Developing and implementing a risk-based compliance control framework and monitoring program |
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Help in establishing an appropriate compliance culture within your business |
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Evaluation of new regulations on your business model |
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Advice and assistance with regulatory relations and in meeting regulatory standards and expectations |
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Advice and assistance with getting your business authorized by a regulator |
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Assistance and support in dealing with regulatory enforcement actions and remediation exercises |
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