Our experts reviewed and enhanced the client’s compliance manual, providing them with a fully compliant final product.
The team supported the client with a review and full update of compliance policies for authorisation.
We conduct quarterly compliance monitoring plans and present findings to the CEO and Board. Our team created all policies to comply with MiFID and AIFM regulation, and provided compliance advice to inform business strategy.
Recent Examples of Work
Professional Compliance Services
Novatus’ experts bring a powerful combination of regulatory knowledge and commercial perspective.
We work directly with regulators and market peers, allow us to provide our clients with an alternative to resourcing Compliance projects internally.
Managed Compliance Services
Increasing amounts of regulation combined with a more active regulator means the cost and onus of compliance is higher than ever. In an ideal world, your firm would have a large team of specialists with the complete skillset to deliver your compliance needs. However, this is often not the reality. If your firm is struggling to meet the regulators requirements, Novatus Global is your solution to ensuring the breadth and depth of compliance is covered in a cost-effective manner.
Our managed compliance services mean we share your BaU burden, helping you manage costs whilst accessing the capacity and skills you need to succeed.
Proud to advise
Complete Compliance solutions, from strategy to embedding best practice at a functional level and large operational initiatives.
Of regulatory frameworks, operating models and regulatory requirements.
Gap analysis of function to ensure compliance with all relevant regulations.
Of errors or divergence from regulation, delivery of remedial actions.