Compliance Solutions

Minimise the costs of compliance, risk and governance headcount for your business, without compromising on quality advice, implementation, and execution of your obligations.

Today’s financial institutions are faced with a myriad of complex, ever-advancing regulations, where the costs of non-compliance can result in permanent reputational damage, personal liability and even derailment of an entire enterprise. For this reason, it is crucial that your business has robust, personalised strategies to manage and mitigate risk.

At Rochford, we are acutely aware that financial services businesses, now more than ever, require a holistic approach to operationalise regulation, governance, and integrity within their ranks.

Our clients benefit from a preventative, solutions-focused approach to regulation and conduct, tailored to your firm’s risk exposure, and carefully balanced against your commercial goals.

Who we help:

  • Payments, FX and remittance firms
  • Crypto-currency brokers and exchanges
  • Fin-techs
  • Trading firms
  • Brokerages
  • Financial advisers

Project-based Compliance Services

Internal Reviews:

Receive independent identification of operational, reputational and regulatory risk across your business.

ASFL/ACL Licensing:

With planning, consultations, ASIC liaisons, preparation of required documents and analysis of prospective responsible managers, you can rest assured your prospective business’ licensing is taken care of.

On & Offsite Training:

Our training solutions and resources help educate your representatives, and meet CPD and organisational competence requirements for financial services.

Bespoke Projects:

We also offer comprehensive regulatory health checks, emcompassing policy and procedure reviews as required.

 

Managed Compliance Services

  • Find peace of mind with an all-inclusive service tailored for your business.
  • Receive advice from our compliance experts regarding risk considerations when pursuing commercial objectives.
  • Leave compliance to us – we’ll draft policies and procedures, maintain regulatory registers, monitor your operational risk, engage with regulators, and provide ongoing advisory, implementation and execution of all your applicable regulatory obligations
  • Receive ongoing assistance with all your corporate secretarial needs and regulatory training of internal stakeholders.
  • Ensure your financial marketing and promotional materials comply with applicable laws and guidance to avoid any misleading or deceptive conduct.

Why work with us?

Working with an external compliance provider offers an expert and cost-effective alternative to headcount so you can streamline your budgets to other projects.

We provide:

  • clarity in interpreting complex regulation,
  • speed and conviction in the delivery of compliance function tasks,
  • detailed and timely communication of risks
  • frameworks and processes in advance of regulatory change
  • approaches to risk that enhance long-term sustainability,
  • effective preventative risk management techniques to meet regulator expectations,
  • cost-efficiency in meeting your regulatory obligations,
  • comprehensive advice that’s solution-focused and balances commercial objectives,
  • reduced burden on internal stakeholders and resources.

Talk to the team today about our Compliance services

Compliance Insights

AFS Breach Reporting Reforms – Are you ready?

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ASIC’s approach ahead of significant upcoming law reform in October 2021

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