Unlock Seamless Governance, Risk, and Compliance (GRC) with ComplyBase, Our Comprehensive Solution for Securities Offering Issuers
Securities offerings play a pivotal role in capital markets by providing companies with the necessary funds to drive their growth initiatives. However, these offerings are closely regulated, necessitating meticulous recordkeeping, governance, risk management, and compliance (GRC).
With the increasing regulatory scrutiny of regulators, now more than ever is it crucial for any securities issuer to establish a comprehensive approach to managing their securities governance, risk, and compliance.
Smaller companies simply don’t have the resources or expertise to maintain a full-time chief compliance officer with the administrative support necessary. Most of the time, when an issue occurs, the management team is left scrambling to find essential documents and produce the necessary information because the pile of records accumulates over time in a haphazard, usually disorganized fashion.
Our suite of consulting services and software solutions are specially designed to assist issuers of securities offerings in establishing a robust GRC foundation, enabling the effective management and administration of every essential record and document necessary for legal and statutory audits.
Future Proof Your Offering
Securities structured and managed through ComplyBase provides the foundation for a future evolution towards digital, programmable securities instruments as the tokenization of real-world assets (RWAs) continues to find acceptance and adoption globally.
In the future, securities can be integrated with XDEX, the 10XTS securities token compliance network for global portability and interoperability between institutions and secondary markets.
ComplyBase is the complete Structure and Configure Phases of the Asset Tokenization Lifecycle Process, a compliance-based, model-driven approach developed by 10XTS that encompasses the full scope of effort necessary to create a regulatory-compliant digital, programmable securities instrument represented by a digital asset on a blockchain.
GRC Foundation Establishment Services
- Governance Framework Design & Implementation: We assist in the creation and deployment of a governance framework tailored to your unique operational landscape, ensuring strategic alignment and accountability.
- Risk Management Infrastructure: Our services facilitate the development of a comprehensive risk management infrastructure, encompassing risk identification, assessment, monitoring, and mitigation.
- Compliance Recordkeeping System: We aid in implementing a secure, organized, and accessible system for compliance recordkeeping, ensuring readiness for internal audits and regulatory inspections.
- Structured Governance Model
- Proactive Risk Management Approach
- Regulatory Compliance Assurance
Continuous Management & Administrative Services
- Compliance Digital Records Document Management System (DMS): Our consulting services extend to include the implementation of a highly-specialized DMS that allows for the secure and efficient storage, retrieval, and management of securities offering documents, investor agreements, reports, and other essential information. The system includes many comprehensive features for the complete back-end automation of your compliance office.
- Ongoing Compliance Monitoring & Reporting: With our services, issuers can enjoy continuous compliance monitoring, with regular reports providing insights into the compliance status and areas requiring attention.
- Legal & Statutory Audit Preparation: We offer support in preparing for legal and statutory audits, ensuring that every document and record is in place and compliant with the applicable regulations and standards.
- Streamlined Document Handling
- Consistent Compliance Monitoring
- Hassle-Free Audit Preparation
Working With Us
We provide a well-defined, phased implementation to establish your comprehensive GRC system and processes.
- Phase I – Assessment & Planning: Initial phase involves understanding the issuer’s current GRC landscape, identifying gaps, and planning for the implementation of the necessary frameworks and systems.
- Phase II – System Implementation: This phase is focused on the deployment of the governance framework, risk management infrastructure, and compliance recordkeeping system.
- Phase III – Training & Handover: Our consultants provide extensive training to the issuer’s team, ensuring they are capable of managing and administering the new systems effectively.
- Phase IV – Ongoing Support & Maintenance: Post-implementation, we offer continuous support and maintenance services to ensure the sustained effectiveness of the GRC foundation.
Why Choose Our Services
- Expert Team: Our team of consultants comprises experienced professionals with deep industry knowledge and expertise in GRC related to securities offerings.
- Tailored Solutions: We understand that each issuer is unique, and therefore, we provide customized solutions designed to meet the specific needs and challenges of each client.
- Technology-Driven Approach: Leveraging cutting-edge technologies, we deliver solutions that not only meet current requirements but are also scalable and adaptable to future needs.
Establishing a solid foundation for governance, risk, and compliance recordkeeping is crucial for issuers of securities offerings. Our suite of consulting services is designed to guide issuers through the process of setting up this foundation and ensuring its effective management and administration for the long term.
With our expert team and tailored solutions, issuers can confidently navigate the complexities of GRC, achieving compliance and readiness for legal and statutory audits with ease.
For more information or to schedule a consultation, please contact our expert team today!