The key objectives of regulation in financial services include:
As the financial firms have to comply with the rules of regulators, the firm, and the investors, CES supports its clients on various monitoring systems to safeguard the client from various risks and regulatory sanctions.
Email Monitoring: We perform email monitoring to identify risks in the communication data - Email, voice, or instant messages and mitigate the risk of likely market abuse and ensure compliance with insider trading policy. Additionally, we also look for HR violations in terms of exchange of any pornographic material, sexual harassment, or discriminatory comments.
Portfolio Compliance (Fund Compliance): We prepare client checklists by running surveillance on the holdings and transactions to ensure that the investments are within the client's guidelines. We additionally prepare quarterly and monthly certifications to ensure clients that the accounts are in compliance for the required period.
Personal Trading (Employee Compliance): We monitor employee transactions to ensure trade requests are in compliance with the prescribed personal account dealing policy, and help the business unit conduct quarterly and annual transaction reports.
Regulatory Compliance: We prepare and monitor the TIC B and TIC SLT filings by liaising with various departments and help the compliance manager upload the filings to the SEC site.
Licensing and Registration: We help the business units maintain and manage the advisory license expiration list of the investment advisers and help them apply / renew their advisory license with the respective regulatory body by keeping track of continuing education credits.
Anti-Money Laundering: We help the business unit review the KYC of the customers and help identify transactions of suspicious nature, as well as assist them in reporting the financial intelligence unit in the respective country by raising a SAR (Suspicious Activity Report).