​Regulatory & Governance Documentation
Regulatory and governance documentation is central to effective compliance and regulatory oversight. Regal 38i83 supports regulated financial institutions with the development and maintenance of policies, procedures and governance documentation aligned with regulatory expectations.
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We use structured tools and technology to support document development, with all outputs reviewed, refined and tailored to reflect each client’s regulatory permissions, business model and governance arrangements.
Policy & Procedures
Development and review of regulatory policies and procedures supporting compliance with applicable regulatory requirements. This includes operational, compliance and risk policies designed to evidence control frameworks, accountability and oversight across regulated activities.
Standard & Guidance
Design of internal standards and guidance documents setting minimum expectations and good practice across business functions.
These documents support consistent implementation of regulatory requirements and provide clarity for staff with regulatory responsibilities.
Governance Documentation
​Preparation and review of governance documentation supporting organisational structure and oversight, including governance frameworks, board and committee terms of reference, management responsibilities and record-keeping.
All documentation is reviewed and tailored to reflect regulatory expectations, proportionality and the specific regulatory context of each client.