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Compliance program review

Compliance program review

Phocion provides services to our clients that enhance their compliance programs. Areas of focus are:

  • A review and assessment of the completeness and effectiveness of the compliance controls
  • A review that the processes (i.e. gap analysis, risk assessment), systems and controls are in place in order to meet regulatory requirements
  • Testing and analysis to determine the effectiveness of the firm’s compliance monitoring and controls
  • Detailed report identifying strengths and weaknesses