Compliance organization and program assessment
Analyzing the compliance organization, infrastructure, monitoring and governance programs. Assisting with potential governance automation, including the elimination of redundant controls.
Compliance program development and implementation
Assisting in the development and implementation of the compliance organization, compliance program and compliance policies and procedures with an emphasis on operations and controls.
PwC's integrated governance risk and compliance framework helps clients get positive assurance that their policies, procedures and control objectives are testable and control activities and risks are actively managed. Our standardized framework permits traceability from policy to the control tested and also creates a path for future governance automation.
Performing mock inspections to assist in preparing for an SEC examination through mock SEC interviews, documentation review and testing by former SEC examiners.
206(4)-7 and 38a-1 compliance trust services
Testing compliance control objectives and activities defined by management using AICPA's SOP 07-2.
Issuing attest opinions on the effectiveness of compliance control objectives and activities which can be shared with management and clients.
Designing and performing tests of securities transactions to determine compliance with portfolio management, trading and personal securities policies and procedures.
Performing regulatory compliance due diligence associated with acquisitions of investment management or distribution businesses.
Investigations and litigation support
Investigating facts and analyzing data to quantify exposure, assess vulnerability and formulate strategy to mitigate enforcement and litigation risks.
Advising in the development and delivery of effective compliance training programs.