Here at Teal Compliance our team have a wide range of legal experience.
We know that there are times when it would be helpful for you to discuss compliance issues to find a solution. Whether it’s something you’ve never come across before, or you just need a second opinion use our popular “Ask Teal” service where our team will be on hand to guide through your query.
Here are some of the ways we have helped our clients already:
Discussing suspicious activity and red flags;
Guiding firms on reporting obligations and seeking consent;
Reviewing CDD documentation and evidence of source of funds and source of wealth;
Tipping off and what you can and can’t say.
Standard and Regulations
Discussing potential conflict situations;
How to deal with a complaint;
Potential breaches of the Code.
Handling a Data Breach;
Data Retention in practice.
Feel Safe, Call Teal