Regulatory Compliance | KPMG | AL

Regulatory Compliance

Regulatory Compliance

Regulatory Compliance continues to be a complex business challenge.

Regulatory Compliance continues to be a complex business challenge.

As new laws and regulations are introduced, their requirements challenge boards to greater levels of transparency, objectivity and professionalism. Regulators are making judgements both about the robustness of regulated firms’ business models, and the suitability of the products they are selling. They will intervene promptly if they see or anticipate problems.

Regulatory Compliance Services leverage industry knowledge and regulatory capabilities to assist regulators, boards, and management in evaluating an entity's compliance with applicable rules and regulations.

KPMG has a dedicated team of experienced regulatory professionals who can bring a multi-disciplinary approach to delivering an integrated, business-focused strategy for managing regulatory change.

How KPMG can help

We can assist organisations in identifying the applicable laws and regulations and to better understand the regulatory environment. Our approach combines an analysis of the legal framework together with an assessment of the systems and processes which can help ensure compliance.

To keep you on track, KPMG professionals can help by:

  • Enhancing your ability to meet regulatory requirements and to mitigate risk of failure
  • Providing best practice solutions to fit your particular needs
  • Optimising processes to maximise efficiencies and cost savings
  • Providing compliance training to ensure organizations are aware of existing and new regulatory requirements
  • Assessing the effectiveness of existing compliance frameworks and benchmarking compliance arrangements against established industry best practice
  • Establishing programs that  satisfy regulatory requirements and evolving expectations
  • Supporting development of policies, procedures, and solutions that can not only be effective and efficient over the longer-term, but also enhance strategic and corporate decision making
  • Assisting in implementation of Sarbanes-Oxley Act requirements (for SEC registrants)

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