Tailored and pragmatic solutions to help regulated firms meet their obligations with confidence and clarity.
Learn MoreStay compliant with the latest regulatory changes and understand how they affect your operations.
Ensure your complaint handling procedures align with the new AMF requirements.
Navigate the complexities of Quebec's enhanced data protection requirements.
We offer comprehensive solutions to help regulated firms navigate complex regulatory landscapes with confidence.
Customized policies and procedures tailored to your specific regulatory requirements and business model.
Regular updates to your compliance manuals to reflect the latest regulatory changes and industry best practices.
Stay informed about regulatory changes with our ongoing monitoring and analysis of new requirements.
Comprehensive training solutions to ensure your team understands and follows regulatory requirements.
Full or partial outsourcing of your compliance function to our experienced team of regulatory experts.
Expert assistance during regulatory audits to ensure smooth interactions and favorable outcomes.
Comprehensive review and enhancement of your Anti-Money Laundering programs to ensure compliance.
Simulated regulatory audits to identify and address compliance gaps before actual inspections.
Meet our regulatory compliance expert with over 20 years of industry experience.
Vincent is a regulatory compliance expert with over 20 years of experience in the financial industry. He has held senior roles at a registered firm (Barrage Capital), a regulatory authority (AMF), and a major financial institution (National Bank). He now offers his services as an independent consultant to help firms meet their regulatory obligations and strengthen internal controls.
Vincent has extensive experience working with various financial institutions including:
Get in touch to discuss how we can help your organization with regulatory compliance.
Regulatory Compliance Inc.
Vincent Mascolo, CPA, CIM