Compliance Services

compliance-servicesA strong and effective environment of compliance fosters investor trust and strengthens relations.  Introduction Capital assists businesses by developing bespoke compliance programs tailored specifically to each business in order to attract qualified investors.

Introduction Capital offers a number of alternate financing arrangements including hourly billing, retainers and project-based pricing.  We are always open to considering non-traditional arrangements to suit individual business needs.




Compliance Services

▪   Compliance infrastructure including the development of compliance monitoring programs
▪   Creation of policies and procedures, manuals, employee handbooks which fulfill obligations of securities commission and self-regulatory organizations
▪   Marketing compliance drafting and review of marketing collateral  (such as advertisements, websites, presentations and any other client-facing materials)
▪   Manager due diligence

Regulatory Affairs

▪   Assistance during regulatory audit or compliance field review (including mock audits)
▪   Management of regulatory affairs including responding to regulatory reports and deficiencies
▪   Liaison with regulators or oversight bodies

Anti-Money Laundering and Anti-Terrorist Financing Review

▪   Establishment of internal AML compliance regime
▪   Biennial review of firm’s AML Compliance Regime as mandated by FINTRAC
▪   Drafting of policies and procedures in compliance with Financial Transactions Reports Analysis of Canada (FINTRAC) regulations and guidelines
▪   Creation of new client account documentation
▪   Risk analysis, risk assessments and risk mitigation strategies
▪   Conducting of biennial review of firm’s AML regime (as mandated by the FINTRAC guidelines)
▪   Employee training programs
▪   Assistance with AML audits