Regulatory Reporting Control Framework

Errors in reporting data are often a consequence of weak or incomplete control frameworks within investment firms.

Our comprehensive governance framework is designed by our regulatory reporting specialists to promote the completeness, accuracy and timeliness of your reporting.

Key features

  • A full governance framework and suite of policy and guidelines documentation
  • Covers governance, accountability and guidance for individuals involved in the reporting process and those responsible for regulatory oversight such as Senior Managers under the SMCR
  • Addresses control and governance issues identified in regulatory fines for incorrect reporting
  • Tailored to your business’s internal arrangements and reporting policies
  • Designed by our regulatory reporting subject matter experts who include former regulators Dario Crispini and David Nowell.

Are you a Senior Manager?

A robust Control Framework protects Senior Managers responsible for reporting under the SMCR.

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What do you get?

  • A reporting risk and accountability framework tailored to your firm
  • All required policy and guidelines documentation
  • Expertise and support from the Kaizen Helpdesk and our regulatory reporting Wiki.

Reduce your risk of sanctions

Our Control Framework addresses issues identified in regulatory fines for incorrect reporting.

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