Effective policies and procedures are the foundation of a strong company. They help firms establish clear governance arrangements, embed regulatory requirements into day-to-day operations and provide employees with practical guidance on their responsibilities.
Our specialists support firms in developing, reviewing and maintaining policies and procedures that reflect their business activities, regulatory obligations, control environment and operating model.
How does Ocorian support your policies and procedures?
Service | How we support you |
|---|---|
Policy development | Develop tailored compliance policies and procedures for newly authorised firms and businesses responding to changes in their activities or regulation. |
Policy reviews | Review and update existing documentation to reflect changing regulatory requirements, business activities and organisational structures. |
Independent assessments | Assess policies and procedures as part of compliance health checks, governance reviews and remediation programmes. |
Implementation support | Help embed policies into day-to-day operations through practical guidance and operational documentation. |
Training support | Deliver training to help employees understand how policies apply in practice. |
Operational guidance | Develop supporting guidance and checklists that promote consistent implementation across the business. |
Frequently asked questions
Policies and procedures set out a firm's governance arrangements, embed regulatory requirements into day-to-day operations, and give employees practical guidance on their responsibilities.
Ocorian develops tailored policies for newly authorised firms, reviews and updates existing documentation, assesses policies as part of health checks and governance reviews, and helps embed them into day-to-day operations.
Yes. Ocorian reviews and updates existing documentation to reflect changing regulatory requirements, business activities and organisational structures, including as part of compliance health checks and remediation programmes.
Yes. Ocorian delivers training to help employees understand how policies apply in practice, and develops supporting guidance and checklists for consistent implementation.
Let’s talk
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