Servicios

Regulatory and Compliance Program Services

Deloitte has been rated by respected independent research firms as a leader in end-to-end risk management services. Analysts cite, and member firm clients rely on, Deloitte’s advice and expertise; continuous access to an experienced team of governance, regulatory, and risk specialists; and the ability to deliver services wherever and whenever they are required.

The Regulatory and Compliance Program Services provided by Deloitte member firms assist organizations in adapting to a changing regulatory environment. Deloitte member firm professionals, many of whom are former regulators or compliance professionals, provide three levels of engagement:

  1. strategy level - to help organizations anticipate and adapt to regulatory change
  2. operational efficiency level - to achieve a cost-effective balance between compliance and risk
  3. remediation level - in response to enforcement.

Deloitte member firm clients also benefit from:

  • Dedicated and specialized practice areas and teams, such as the Centers for Corporate Governance, which provide cutting-edge research and thought leadership to keep Deloitte at the forefront of governance, regulatory, and risk philosophies and methodologies
  • In-depth technical knowledge and skills across a variety of disciplines, enabling Deloitte professionals to look at each situation objectively, identify its unique opportunities and challenges, and devise an approach that addresses those opportunities and challenges as quickly and efficiently as possible
  • Industry- and sector-specific knowledge and understanding
  • Finely honed risk methodologies and tools, developed according to relevant industry standards and in consultation with appropriate authorities, to provide clients with leading practices and the most advanced thinking in the field

Compliance processes, policies and procedures: The compliance processes, policies and procedures services offered by Deloitte member firms can have many potential benefits to clients, especially in the following areas:

  • Understanding of the implications and requirements of new regulations
  • Implementing appropriate processes, policies, and procedures
  • Designing and assessing policies and procedures.

Compliance processes, policies and procedures

Compliance and risk assessments: Deloitte member firms offer various services to help clients address all aspects of compliance and risk assessments. These include:

  • Conducting compliance and risk assessments
  • Assessing current state regulatory reporting
  • Implementing new reporting processes

Compliance and risk assessments

Compliance reporting: Deloitte member firm professionals assist with and advise on developing risk-based compliance reporting services.

 

Compliance reporting

Compliance technology solutions: Deloitte member firms offer compliance technology solutions assisting clients in the selection and implementation of compliance technology solutions.

 

Compliance technology solutions

Compliance reviews: The extensive knowledge base and experience of Deloitte member firm professionals has helped organizations conduct investigations in connection with regulatory inquiries, administrative actions, and litigation pursuant to legal counsel requests.

 

Compliance reviews

Compliance benchmarking and modeling: Deloitte member firms offer compliance benchmarking and modeling services assisting clients in assessing existing compliance models for operational efficiency.

 

Compliance benchmarking and modeling

Remediation Services: The remediation services offered by Deloitte member firms provide regulatory remediation assistance (which include developing and implementing remediation plans to address regulatory findings). Deloitte professionals also serve as consultants to clients when mandated as part of administrative actions and proceedings.

Remediation Services

Compliance testing: Deloitte member firms offer compliance testing services assisting clients in developing and administering compliance training.

 

Compliance testing

As risks rise, boards respond

A global view of risk committees

Boards of directors have been working hard to fulfill their risk oversight responsibilities in a challenging environment. Regulations are changing rapidly in most industries, and vary significantly across countries. Investors, analysts, and the public are demanding greater transparency into risk and risk management, as are creditors, counterparties, and other stakeholders. Many boards legitimately wonder not only what regulators want, but also which approaches to risk oversight actually work.

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