Amba Research’s capital markets compliance support services enable our clients to meet strict regulatory compliance requirements more stringently and at a lower cost. With regulatory pressures from the SEC, FINRA, FSA, SFC, etc. increasing, the clients’ compliance functions leverage our compliance services to enhance their ability to do more for less. By using our skilled workforce in low-cost centers around the world, our clients have been able to provide additional bandwidth to their internal compliance team while reducing their overall cost of compliance. We work as an extension of the in-house compliance team performing their critical day-to-day compliance activities (e.g., email monitoring, regulatory filings, investment restrictions/guideline monitoring, and registration support) that are repetitive and have less value-add, so the onshore team can concentrate on more strategy-oriented work. We are not a compliance consultant that provides advisory services.

The quality and large size of our workforce (700+ employees), our global delivery centers (Costa Rica, India, and Sri Lanka), and our deep understanding of the compliance domain in the capital markets sector allow us to multitask and provide flexible support to our clients.

We provide the following compliance services:

• Investment Restriction and Guideline Monitoring Support
• Employees’ Personal Trading Surveillance
• Review of Sales and Marketing Material
• Equity Research Compliance Support
• Maintaining Restricted and Gray Lists
• E-communications (email, chat, calls) monitoring support
• Anti-money Laundering Surveillance
• KYC/OFAC Review
• Regulatory Filing Support
• Sanctions Database Checks
• Registration Support Services
• Regulatory Reporting Support
• Review of Fund Intermediaries or Brokers
• Compliance Testing Support
• Supervisory Analyst Support Services