Compliance Partners to FinServ and FinTech SMEs
Compliance Partners to FinServ and FinTech SMEs
What we do
It starts with you
Your compliance program is our business. We listen, we review and we compare to regulatory requirements. We benchmark against industry best practices. And we communicate, in plain English, where your Compliance Program requires improvement and how to get you there.
The challenge for today's entrepreneurs
Good Compliance is good business! As a financial services entrepreneur you have an an ongoing obligation to your clients, business partners and regulators to ensure your Compliance Program meets both complex industry standards and consumer expectations. Having trouble keeping up? Want to know where you stand?
Our Expertise
We are Compliance professionals. We have extensive experience with Canadian and foreign regulated entities including: banks, trust and loan companies; investment dealers & EMDs; mortgage lenders and mortgage brokers. We understand both applicable legislation (PCMLTF, PIPEDA, Bank CASL etc.) and how Regulators work.