Compliance support
Amba enables asset managers, sell-side, wealth managers, hedge funds, and broker-dealers implement their compliance policies and meet regulatory requirements with greater rigor and at lower cost. As regulatory pressures increase, compliance departments leverage Amba’s services to enhance their ability to do more for less. Amba is not a consultant providing advisory services; Amba does the day-to-day implementation of compliance activities in line with internal policies and regulatory guidelines.
Our large scale of operations (700+ employees), global delivery locations (Costa Rica, India and Sri Lanka), and deep understanding of compliance requirements allow us to provide multi-task and flexible support.
We provide the following compliance support services:
- Post-trade Guidelines’ Monitoring
- Employees’ Personal Trading Surveillance
- Review of Sales and Marketing Material
- Anti-money Laundering Surveillance
- E-communications Surveillance
- Regulatory Filing Support
- Sanctions Database Checks
- Registration Services
- Regulatory Reporting
- Review of Fund Intermediaries or Brokers
- Compliance Testing
- Supervisory Analyst Services
