Voices from compliance officers, desk heads, and operations leads who worked with us on assessments, manuals, policies, and briefings.
“They spent two full mornings on our Neihu blotter before writing a single finding. The report named the exact handoff between our night clerk and morning settlements lead — that level of detail is rare.”
The remediation workshop ran long; we needed a second afternoon to finish owner assignments.
“Our desk manual still mentioned a fax confirmation path we abandoned in 2021. The procedure review caught it and rewrote the escalation tree so new hires stop asking the wrong person for overrides.”
“Policy drafts arrived in language our traders would read. The gifts register section alone cut the back-and-forth with head office by half.”
“The control owner briefing used a failed second-eye check from a desk like ours. People stayed engaged because it felt familiar, not theoretical.”
“After the assessment we finally had a 90-day plan with names next to each control gap. Internal audit later used the same map as their starting point.”
A regional brokerage branch in Neihu commissioned an Internal Controls Assessment ahead of group internal audit. Sample testing traced equities tickets from night clerk entry through morning settlement release. The findings pack ranked a missing second-eye step on amendments as high severity and mapped three compensating reviews already happening informally at close of day.
During the remediation workshop, owners accepted eight of nine actions inside ninety days. The mild friction: calendar time. The branch needed a follow-up afternoon to finish owner names because two desk heads were on leave the first week. The later internal audit reused the same controls map as its opening brief.
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