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Compliance Review & Remediation

Our client’s processes had not kept pace with regulatory requirements and business growth, leading to inadequate controls. We were engaged to conduct a detailed compliance review and produce a remediation action plan within tight timescales.

Discover how effective knowledge transfer and a pragmatic approach helped this Asset Manager improve their systems and controls.

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Myth Busting SM&CR

TCC Technical Director, Don Scott sheds light on some of the common myths with the Senior Managers and Certification Regime (SM&CR)

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Find out more about our unique RegTech solution at recordsure.com