Compliance Function for CIFs & Issuers

Investment Firms are required to establish and maintain a permanent and effective compliance function which operates independently and is responsible:

(a)    To monitor and assess the adequacy and effectiveness of the measures and procedures put in place for the detection or any risks or failures, and the actions taken to address any deficiencies in the Investment Firm’s compliance with its obligations; and

(b)    To advise and assist the relevant persons responsible for carrying out the authorized investment services and activities, so as to comply with the obligations of the Investment Firm under the Law.

For the discharge of the above, the compliance function must have the necessary authority, resources, expertise and access to all relevant information.

Issuers of listed titles are also required to have a compliance officer, who is responsible for the discharge of the obligations of the Issuer towards the stock exchange and the regulatory authority, in terms of transparency and other continuing and special obligations.

Our firm is in position to provide Complete Outsourcing solutions of the Compliance Function for CIFs and Issuers, or assist CIF’s and Issuers with hiring, training and monitoring compliance officers who will be working internally within these organizations.

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