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POLICIES & PROCEDURES
When financial institutions adhere to well-defined policies and procedures, it builds public trust as these policies and procedures act as the bedrock ensuring stability, trust, fairness, and efficiency. Softek Compliance’s team of experts help develop a firm’s policies and procedures that efficiently adhere to regulatory obligations thereby building client confidence.
HIGHLIGHTS INCLUDE:
IIMPLEMENTATION, EVALUATIONS & ENHANCEMENTS
MONTHLY REGULATORY UPDATES
IN-DEPTH COMPLIANCE MATERIALS
Our Softek Compliance team is adept at assessing a firm’s compliance system’s needs, evaluating the best fit while creating and executing implementation plans that provide much-needed relief from manual management. Our team can also assist firms in analyzing current operating systems and procedures to see what additional efficiencies can be created.
Our team understands the struggles that come with operating in the increasingly fast-paced financial industry, especially in dealing with the ever-changing and evolving regulatory requirements. On a monthly basis we will inform your firm of any new regulatory requirements and or issues that are notable in relation to your firm’s operations as a business. With our monthly updates your firm will be able to stay ahead of issues which may have otherwise been unknown.
With significant experience in dealing with specific clients’ compliance problems, our Softek Compliance team has seen it all. With the use of the knowledge gained from these past experiences, we were able to successfully create in-depth compliance materials that will help any business in their regulatory efforts. Our materials are not only thorough, but highly compatible, making them suitable for any firm.