Regulatory reporting errors are often a consequence of weak or incomplete control frameworks within investment firms. Kaizen’s comprehensive governance framework is designed by our regulatory reporting specialists to promote the completeness, accuracy and timeliness of your reporting.

Key features

• A full governance framework and suite of policy and guidelines documentation
• Covers governance, accountability and guidance for individuals involved in the reporting process and those responsible for regulatory oversight such as Senior Managers under the UK’s Senior Managers and Certification Regime (SMCR)
• Addresses control and governance issues identified in regulatory fines for incorrect reporting
• Tailored to your business’s internal arrangements and reporting policies.