Pacific Compliance offers a range of high quality solutions to securities markets, securities market participants, listed companies and securities market regulators.

• Compliance risk assessment
  • Assessment of compliance risks and operating risks facing the organisation, risk tolerance assessment, prioritisation and implementation recommendations
• Compliance structure and objectives
  • Analysis and recommendations regarding current and optimal compliance structures, programs and resources
• Compliance engagements
  • Design, conduct and implementation of internal or external reviews assessing standards of compliance with relevant securities laws and markets rules
• Trading Surveillance
  • Review of internal market surveillance strategies and practices
• Investigations
  • Investigation of compliance failings, management of regulator engagement and implementation of remedial strategies
• Regulator engagement
  • Analysis of regulatory engagement strategies and management of regulatory engagement on a continuous or “as required” basis
• Presentations and Training
  • Design and delivery of internal or external compliance related training related to securities markets