WHAT REGULATORY RED FLAG WILL YOU TRIGGER?
The OSC conducts compliance reviews of advisers, exempt market dealers, portfolio managers and investment fund managers. You may catch their eye as part of a “sweep” that focuses on a particular topic of interest or issue, a complaints, a referral from another regulating body/registrant, your responses to your risk assessment questionnaire (RAQ) or you may be randomly selected (lucky you!). Your compliance manual will be examined. Highness Global Capital Inc. produces bespoke compliance manuals that are: – written in plain language (not off the shelf legalese) – concise (only includes what actually applies to you) – helpful guide in the course of everyday business (a tool and not a paperweight!) – adheres to your brand guidelines (aesthetically appealing) – is current (addresses all regulatory changes that must be phased in within the next two years), and – is easy to update. Most importantly, a suitable compliance manual reduces your regulatory risk and reduces the length of regulatory examinations.
Let us do the work for you now & you can pay us later (ask about HGCI deferred payment option).