Regulatory Reporting Control Framework

Regulatory reporting errors 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.

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.

Reduce your risk of sanctions

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

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Do you have the right controls in place for accurate reporting?

To find out, or for a conversation with one of our regulatory specialists, please get in touch.

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