Regardless of the state of entity’s compliance regime, notice from FINTRAC (or one of its compliance partners) of a regulatory examination can be disconcerting. Williams McGuire, together with its network of legal experts, is experienced in preparing for and responding to regulatory examinations. We routinely assist reporting entities in preparing for regulatory examinations with compliance reviews targeted towards known areas of regulator focus. Our reviews culminate in a clear action plan, which identifies significant weaknesses observed, and provides steps to remediate to those weaknesses. Drawing on our resources, precedents, and document library, Williams McGuire can often perform those remedial steps prior to the regulator’s arrival.
Call us, we can often have a team at your site, anywhere in Canada, within one week.
Regardless of the state of entity’s compliance regime, notice from FINTRAC (or one of its compliance partners) of a regulatory examination can be disconcerting. Williams McGuire, together with its network of legal experts, is experienced in preparing for and responding to regulatory examinations. We routinely assist reporting entities in preparing for regulatory examinations with compliance reviews targeted towards known areas of regulator focus. Our reviews culminate in a clear action plan, which identifies significant weaknesses observed, and provides steps to remediate to those weaknesses. Drawing on our resources, precedents, and document library, Williams McGuire can often perform those remedial steps prior to the regulator’s arrival.
Call us, we can often have a team at your site, anywhere in Canada, within one week.