Compliance Programs & Annual Reviews

KYR has extensive experience in writing customized compliance manuals that are suitable and applicable to any firm’s needs.  Typically, such manuals consolidate all of a firm’s compliance related policies and procedures into one document. KYR has developed policies and procedures in numerous areas including but not limited to:  advertising, anti-money laundering, business continuity, cyber security, referral fees paid to solicitors, client reporting, conflict of interest, custody, privacy, electronic mail management retention and data governance. 

In addition to the development of a program, KYR can conduct a comprehensive assessment of a firm’s existing compliance program.  The results of the review are documented in a confidential report.  When concerns are identified, recommendations to address the compliance requirements are provided to your firm.