Compliance and Regulatory

The Compliance and Regulatory team at International Assets Advisory ensures that the firm adheres to all relevant laws and regulations governing the financial industry. This team conducts thorough reviews and analyses to implement policies and procedures that mitigate risk and maintain the integrity of client interactions. Additionally, they oversee the registration processes and collaborate closely with regulatory authorities, ensuring that the firm operates within the parameters set by governing bodies while fostering a culture of compliance throughout the organization.