Compliance & Regulatory

Common Sense Compliance

Compliance has earned a reputation for being over-burdensome, complicated and hampering business, and in some cases this is most certainly the case.  This doesn't necessarily have to be the case.

Let's face it - there are rules that we need to operate under in this industry as there are rules we have to follow in everyday life.  Dirigere Advisory works to understand the rules applicable to our industry and takes what we believe to be a "common sense" approach to compliance.

It's not a matter of trying to get around the rules - they are there for a reason.  We try to understand the rationale behind the rules and aim to operate with 'the spirit of the rules' as our guiding principle.  From our experience, once this is understood, then compliance is easier to understand and effective processes able to be established for your business.

While the basic principles by which we operate are common to all financial services businesses, we will also take into account your practice and what your business is seeking to achieve.  What works for one business may not be appropriate for another and we will work with you to establish a compliance regime that both meets industry standards and supports your business growth.