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About Veritas HQ2021-01-22T08:28:47+00:00

For Better Compliance

Veritas HQ provides a combined excellence of best industry professionals supported by many years of experience in multi-disciplinary fields. We have joined hands with the singular motto of making compliance and risk management more straightforward. We assure you the confidence of dealing with customers, providers, and regulators effectively given the constantly shifting landscape of regulatory changes.

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Empowering Leaders with Compliance

  • Policy documentation development
  • Policy Evaluation
  • FAP New Regime Licencing  and Management Advisory
  • Develop Regulatory Strategy
  • Advocacy for erroneous applications
  • Performance scorecard
  • Ongoing Quality Assessment
  • Formulate Quality Assurance Metrics and Dashboard
  • On-call compliance support
  • Library of documents and resources
  • Cost-effective solution
  • Gap Analysis
  • Detailed Audit
  • Periodic review of in-house policy, processes, and controls
  • Opportunities for Business Improvement
  • Assurance to regulators, aggregators and product providers
  • Management and adviser dashboard
  • Ability to drill down into specific areas of improvement
FAP Compliance

Our Vision

At Veritas HQ, our service stack comprises of three key elements. We cover Compliance as a Service, help financial advice providers acquire their licencing from the FMA, and offer effective analytics & insight.

In providing Compliance as a Service, we base our approach on thorough gap analysis in the existing compliance framework. We are aware that in the currently evolving scenario of new regulations, many businesses, both big and small, feel the urgent need of a managed compliance service. We conduct a compliance audit in both limited and full scopes to develop a ‘risk scorecard’. By identifying vulnerabilities, we would suggest the necessary policy changes that work unobtrusively through time, offering business owners peace of mind.

Our licencing assistance is provided in a comprehensive ‘start-to-end’ approach. We don’t believe in templates but are open to working on existing templates that you have previously used. We would ideally prepare your documentation from scratch, such that your application receives approval in the very first attempt. Even if it does not, we provide active advocacy to ensure that you receive your transitional licence before the imminent due date.

Our Team, Our difference

Richard Kirkland

Richard Kirkland

Richard is acclaimed with over three decades of experience in risk and financial management spanning the public and private sectors. He is a CFA charter holder and a Senior Fellow of the Financial Institute of Australasia.

Expertise

His areas of specialisation cover regulated entry licencing, prudential regulation, and supervision. He is an expert on financial markets conduct regulations, open bank resolution, payment, and settlement systems. He also covers other international regulations such as AML/CFT and GATCA.

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Guy Dobson

Guy has more than 30 years of experience in the financial markets of the UK and New Zealand. He has extensively covered private & corporate banking, quant fund management, global investor services, financial training, and business development.

Expertise

He advises firms regularly on applying for an FMA MIS licence. His roles include bank executive (financial controller and senior business development), executive training, and operational consulting. He is an expert on investment/market risk, derivatives, global custody, and financial products such as ETFs.

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Uddhav Kirtikar

Uddhav has 25 years of experience in law enforcement and policy development. He is an expert at providing assured regulatory compliance to businesses. He has extensive knowledge of AML/ CFT compliance.

Experience

He has conducted investigations at the Commerce Commission and developed policies for the Financial Markets Authority. He has worked as the lead policy writer of the AML/CFT guidelines for the FMA. His specialisation areas include counter-terrorism and national security operations in India.

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Compliance and Risk Management Resources

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Let’s make compliance straightforward.

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