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.
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.
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.
4	Ongoing Support We commence with the ongoing compliance support program.