Compliance Services and Advisory
Compliance Services and Advisory
Alpha believes that rules, regulations, and legislation keep updating/changing, and it helps the company to grow and expand its business. Alpha has 20+ years of experience in this field; we have successfully provided all kinds of compliance policies and procedures for your company for its smooth and robust functioning.
Alpha’s team of experts can help your company to draft and customise your Compliance Manual/Policy Manual with:
- Introduction
- Licensing
- Ongoing Regulatory Obligations
- Bribery and Corruption
- Market Abuse
- Insider Dealing
- Conflicts of Interest
- Ethical Business Conduct
- Market Abuse
- Insider Dealing
- Conflicts of Interest
- Ethical Business Conduct
- Personal Account Dealing
- Personal Data Protection Act (PDPA) Policy
- Authorization and Approval
- Record Keeping
- Errors and Breaches
- Communication Standards
- Outsourcing
- IT and Security
- Anti-Money Laundering (AML)/Countering Financing Terrorism (CFT) Policy and Procedure
- Whistleblowing
- Business Continuity Management
Alpha will draft or customize any other required policy as per licensing requirements and as per the requirement of the company’s business structure.
