Regal Funds Management
Regal Funds Management

ADVISORY | FORENSIC | REGULATORY RESPONSE

Appointed Independent Compliance Expert in relation to an Enforceable Undertaking. We reviewed securities trading policies and procedures, reported on their adequacy and provided recommendations. A detailed trade review program was required under the Enforceable Undertaking which included a review of sample trades and related communications over specified periods. 

__Advisory__ __Forensic__ __Regulatory Response__ Financial Services
Rhinomed
Rhinomed

ADVISORY | FORENSIC | REGULATORY RESPONSE

Appointed Independent Expert by an ASX listed entity under an Enforceable Undertaking in relation to continuous disclosure requirements. We assessed the adequacy of Rhinomed’s existing framework to deal with Continuous Disclosure and Corporations Act obligations. We reviewed policies and procedures, delivered training, made recommendations for improvement and provided a written report.

__Advisory__ __Forensic__ __Regulatory Response__ Community
CBA
CBA

ADVISORY | FORENSIC | REGULATORY RESPONSE

Commonwealth Bank's Open Advice Review (OAR) Program: Appointed as Independent Forensic Expert to the OAR Program for customer remediation. We developed criteria for a risk-based review of clients registering for the Program. We developed protocols and criteria for client file reviews and a register of file anomalies and/or criminal breaches.

__Advisory__ __Forensic__ __Regulatory Response__ Financial Services