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Regulatory Health Checks Services

We provide the assurance that your business continues to adhere to the regulations and industry best practice.

Improve your business with a regulatory health check

Staying current with the latest regulatory changes is tough when your focus is growing your business.

Our health check serves as a mini audit of your compliance programme, helping you to understand your risk exposure and ensure compliance is maintained.

We review your policies, procedures and compliance registers, interview senior managers and directors in your organisation as well as testing the knowledge of team members across the organisation. 

It all adds up to create a picture of your regulatory status. Once that’s created, we will work with you on a set of recommendations aimed at improving any weaknesses.

How we help

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  • Understand your risk exposure

    By undergoing our thorough assessment, you get a clearer picture of your risks; from cyber security to financial crime, market abuse to sanctions, our audit covers the entire range of risks. 

  • Improve compliance performance

    We ensure policies and procedures are of good standard and fit for purpose – both to satisfy the regulators and ensure your business is efficiently run.  

  • Develop a sustainable compliance approach

    Our recommendations can be actioned in house with our help, while policies, manuals, checklists, etc. are constantly updated.

  • Develop a risk matrix

    Having investigated and reviewed your policies and tools, we are able to map out a strategy to improve and evolve your regulatory processes. 

  • Provide bespoke training

    Wherever the gaps are in your compliance process, we can work alongside you to help train your people in key areas.

Why Ocorian?

  • A timely and well managed process

    Our experience allows us to quickly complete a full assessment, deliver a report, gather feedback and work up future actions.

    A timely and well managed process

  • Detailed reports and data analysis

    We know exactly what denotes a healthy compliance picture and what serves as a red flag. Our reports give a detailed and bespoke picture of your risk exposure, allowing you to develop specific remedies.

    Detailed reports and data analysis

  • Expertise from ex-regulators

    Our team is staffed by ex-regulators, a key differentiator. As we monitor, visit and challenge our clients, we are able to ask the right questions and help develop the right solutions.

    Expertise from ex-regulators

What you say

What you say

  • "We asked Newgate Compliance to assist us with some regulatory issues that we were having. They came to see us and we were impressed by their enthusiasm and professionalism. They resolved our issue and we now have a fully compliant system in place."

    Asset Manager based in Mayfair, London

    CEO

Let’s talk

Contact us and a member of our team will be in touch.