With Mereus you can clearly demonstrate to regulators that you have independent, third party audit controls in place to track who is receiving what information and when they are reading it. For example:
- In 2012 the FSA conducted thematic reviews of asset management firms. They stated that: "Too few firms adequately controlled spending on research and execution services" in section 3 of their November 12 report: Conflicts of interest between asset managers and their customers: Identifying and mitigating the risks. The Mereus service will help you meet best practice described under COBS11.6.5E and COBS11.6.3R.
- Mereus will provide information to evidence if someone has accessed a document that contains insider information. Being able to demonstrate who has or hasn't accessed insider information is invaluable should there ever be a regulatory investigation.
- You can easily track who has received and opened, or not opened, important compliance documents that you are required to regularly send to your employees or shareholders.
To hear more about how Mereus can improve your audit controls then please call us on the number below.
Please call us on +44 207 079 1097 or contact us via email at email@example.com for further information.
Alternatively, why not go ahead with a free 30 day trial and see how quickly Mereus can make a difference to your business.