A complete regulatory reporting governance structure designed by the former head of the FCA’s Transaction Monitoring Unit.
- A full governance framework and suite of policy and guidelines documentation
- Addresses control and governance issues identified in FCA fines for MiFID reporting
- Tailored to your business’s internal arrangements and reporting policies
- Represents the leading thinking on supporting controls for vanilla and more complex trading environments
- Well received by the FCA.
What do you get?
- Reporting risk and accountability framework tailored to your firm
- All policy documentation
- Expertise and support from the Kaizen helpdesk and regulatory reporting wiki
- CPD-accredited training on reporting obligations delivered by Kaizen’s regulatory experts.
ReportShield quality assurance
Kaizen’s control framework works as a standalone service but is most effective when delivered alongside the additional components of our ReportShield suite of quality assurance services:
Contact us to discuss your regulatory governance requirements and find out how we can give you peace of mind and confidence in your reporting.