Authentic Simulation: Our meticulous approach recreates the SFC inspection process, providing a realistic appraisal to strengthen your compliance framework.
Mock Inspection
Prepare Today, Succeed Tomorrow With GCE'S Mock Inspection
Service Objectives:
Prepare for a Regulatory Inspection with Our Mock Inspections
Our Mock Inspection Service is a pivotal element of your compliance strategy, expertly crafted to mirror the rigour of Securities and Futures Commission (SFC) inspection. More than just a preventative measure, our service offers a strategic edge. It sharpens your firm’s compliance practices, identifies areas for improvement, and fosters a culture committed to continuous compliance enhancement.
Discrepancy Detection: We meticulously uncover any divergences or irregularities, ensuring your firm surpasses regulatory standards.
Remediation and Advancement: We provide extensive support beyond problem identification, preparing your firm for the current and future compliance landscape.
Detailed Service Features:
Our mock inspections are meticulously designed to ensure that your operations meet the highest standards of regulatory compliance and operational precision prior to a real inspection.
Documentary Reviews:
We perform thorough audits of compliance documents, policies, and procedures to guarantee adherence to the latest regulatory standards.
Senior Staff Interviews:
Key personnel undergo detailed interviews to assess their understanding of compliance and practical implementation, as well as their knowledge of the key business lines they manage, how risk management addresses risks, the investment decision-making process, and any pertinent compliance issues.
Trade Sampling:
An in-depth analysis of trade samples over three months provides insights into decision-making processes, ensuring alignment with the investment mandate and highlighting areas for enhancement in compliance and operational practices.
Personal Account Dealing Reviews:
We scrutinise personal account dealings to prevent conflicts of interest and ensure regulatory compliance.
CPT Training Registers Evaluation:
Continuous Professional Training Registers are evaluated to confirm adherence to the mandated 10 hours of training per year.
Service Impact:
By refining your firm’s preparedness for regulatory evaluations, GCE’s Mock Inspection Service doesn’t just reduce risk—it significantly nurtures compliance acumen and resilience. This service is a reflection of our steadfast commitment to a proactive compliance culture, reinforcing our clients’ stature in the realm of compliance.
Engaging with GCE’s Mock Inspection Service is a strategic decision for firms aiming to adeptly meet the challenges of regulatory compliance. We are resolute in our pursuit of delivering pioneering solutions, affirming our dedication to outstanding service in the compliance advisory sphere.
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