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Compliance Audits2021-01-22T08:41:12+00:00
Compliance ready

Compliance Audits

We provide a robust quality assessment by a best-in-class compliance audit system. Interpret your risk assessment criteria to implement applicable changes in the existing policy framework.

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Why Should You Trust the Veritas HQ System

We provide periodic audits to identify vital areas of improvement.
Ours is a highly cost-balanced format of risk-based compliance and risk management.

Compliance Audit

Our intuitive Quality Assessment Metrics identifies potential red flags and triggers in your current framework. Following this oversight, our experienced consultants assist in the implementation of intervention strategies. Our strategies are designed to perform seamlessly through time.

We perform documentation quality assessment of the policy, procedures, and controls of your FAP. We would share a copy of the draft and detailed audit report in a friendly format. We would provide you with a practice audit in both limited and full scopes. We would also provide uplift or remediation plans per the performance data.

Our specialists will evaluate your audit report regularly.  Our audit also provides a performance scorecard addressing key functional areas with vulnerabilities.

Improve the performance of long-term portfolio management with the compliant business framework. Meet the essential criteria of regulators and aggregators easily to deliver effective solutions. We specialize in assisting FAPs, Authorised Bodies, Financial Advisers, and Nominated Representatives.

FAP Compliance Consultancy
FAP compliance Expert

FAP Compliance Expert

Let’s make compliance straightforward.

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Extensive Oversight

Our advisers provide you with an extensive oversight across key performance metrics. We conduct periodic audits to assure the stability of your compliance framework over time.

Remediation Suggested

Our proprietary audit system is crucial in suggesting remediation of your existing policy framework. We would maintain the business best practice of regular checking of your policies, processes, and controls.

Formulate an Action Plan

We would help you develop a long-term action plan based on regular audits. Our system enables us with the clear oversight of key areas of improvement. Based on this clarity, we work towards ensuring that your plan is updated with the latest requirements. Our advisers have extensive knowledge about all applicable compliant procedures to indicate effective corrective actions.

We would evaluate your documentation to identify potential risk areas that require attention. As independent advisors we suggest vital improvements that your in-house team might have missed. We have extensive knowledge of regulatory best practices to implement a successful audit system.

We empower your executive hierarchy with accurate reports. This helps you take improved business decisions to ensure long-term portfolio performance. Our audit results are presented in a risk scorecard format that is easy to absorb and execute. Our system also provides a clear overview of potential non-compliant fees and penalties so that you can avoid them with timely intervention strategies. We would also help you develop a stable contingency plan based on our audit reports.

Compliance and Risk Management Resources

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Simplify compliance and reduce risks

We help you maintain compliance in a business context. Ours is a better option over conflicting silo-driven point solutions or external standalone functions.

VeritasHQ

Address: Level 2, 50 The Terrace,
Wellington Central, Wellington,
6011 , New Zealand

FAP compliance Expert

Let’s have a chat with our

FAP Compliance Expert
0800 VERITAS
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