Compliance Support / Implementation

Getting started is easier than you think
The Ara program can be implemented quickly and with less administrative hassle than the search,
selection and training of a full-time compliance officer. Implementation takes place in four
basic steps.
1 |
Review Visit
We undertake a discovery session with your firm's management to review and analyze the existing compliance structure and to get a better understanding of the firm's business. Based on what we learn, we draft - for your comment and approval - a compliance manual covering each significant compliance responsibility.
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2 |
Implementation Visit
We assist your staff with the setup of a record-keeping system that will serve as a control and
as documentary evidence of your firm's compliance structure. We also address any questions
or concerns staff may have at the time.
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3 |
Training Visit
We deliver a compliance seminar to all staff to introduce key elements of the compliance
manual and to give practical guidance on how to fulfill their regulatory obligations.
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4 |
Ongoing Support
We commence with the ongoing compliance support program.
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