Compliance Audit and Advisory Service

Ultimate responsibility for ensuring compliance, identification of risks, developing and maintaining appropriate systems and controls stay with senior management.

Our audit and advisory services are designed to assist senior management in the discharge of their oversight responsibilities by helping to take objective and independent expert reviews and assessments of anti market abuse compliance arrangements.

Model MAD Compliance Quality Rating Scale (QRS) developed by CSA Partners enables to evaluate the level of quality and maturity of internal anti market abuse systems and controls against applicable rules, expectations of competent authorities and best practices.

Our unique QRS evaluation methodology covers every material aspect of internal compliance arrangements, including objective assessment of insider policy and its enforcement, personal account dealing regime, practices of handling price sensitive information, quality of record-keeping, awareness and training routines, and other relevant compliance procedures.

Along with providing valuable objective measurement of systems and controls, QRS reflects the quality of corporate governance and level of credibility of the issuers, credit institutions and investment firms.

Efficient auditing techniques developed by CSA Partners help to measure your current QRS, find out weaknesses and identify specific actions that are needed to obtain confidence in the quality of systems and controls designed to safeguard your company and ensure fair treatment of investors.

If you would like to request audit or advisory services, please call us or email to: compliance-audit at csapartners dot eu
Quotes
"The manner in which compliance is carried out is a crucial business issue. If compliance is monitored badly, corporate executives could land in jail."

The Economist
"Left to themselves, things tend to go from bad to worse"

Murphy's Law