Permits
Regulations
Audits
Compliance designed for your SOFOM
Your financial operation needs order, evidence and follow-up.
We structure it with you so your SOFOM stays compliant, up to date and ready to grow.
Regulations
Permits
Audits
Filings
Operational evidence
Your financial operation needs order, evidence and follow-up. We structure it with you so your SOFOM stays compliant.
We are a consulting firm specialized in assessment and compliance for financial entities.
Our approach is simple: protect, organize and strengthen your operation with a preventive model and ongoing support.
Legality
Prevention
Regulation
Assessment
Regulations
We are a consulting firm specializing in diagnostics and compliance for financial institutions. Our approach is simple: to protect, streamline, and strengthen your operations with a preventative model and ongoing support.
THE BEST ALLY
FOR YOUR SOFOM
+ 30 services to
regulatory compliance and operations
Support before
before CONDUSEF, CNBV
and Banxico
Support before
before CONDUSEF, CNBV and Banxico
Audits
preventive measures to catch findings before a review
Strict framework
Processes, evidence and obligations calendar
AVOID THE 4 MOST COMMON MISTAKES
1
2
Late reports
Incomplete or poorly filed REDECO (one of CONDUSEF's most watched items)
4
Breaches of applicable transparency obligations
Contracts reported without required information
3
Small oversights trigger requirements, findings and penalties.
We help you prevent them with processes and evidence.
Management and updating of CONDUSEF filings
We simulate supervisory visits exactly as the regulators would conduct them
CONDUSEF filings management
We simulate supervisory visits just as regulatory bodies would.
Preventive compliance assessment
Because it's not whether your entity will be reviewed, but when
360 preventive assessment
Map of obligations, gaps and an action plan by priority.
CONDUSEF filings management
Registration/updates and support for reports and platforms.
Regulatory training
It's not if they'll review you; it's when. We train them to respond with evidence.
Audits and operational evidence
Documentary and process review to sustain compliance against requirements.
360 preventive assessment
Map of obligations, gaps and an action plan by priority.
Audits and operational evidence
Documentary and process review to sustain compliance against requirements.
OUR SERVICE PORTFOLIO
Real, workable and measurable compliance
Management and updating of CONDUSEF filings
Registration/updates and support for reports and platforms (includes a mock review).
Transparency and customer service (IDATU)
Improvements in practices, follow-up and metrics to raise service indicators.
Regulatory training (SIGE, SINE, COR, COT)
It's not if they'll review you; it's when. We train the team to respond with evidence.
Transparency and customer service
Improvements in practices, follow-up and metrics to raise service indicators
A SINGLE VIOLATION CAN COST YOU FINES
FOR NON-COMPLIANCE
Under certain rules, penalties can range roughly from $13,458 a $134,580 for each violation detected, and they can add up based on the number of findings.
That's why compliance is not “done once”: it's run with method and a calendar.
That's why compliance isn't “done once”: it's run with method and a calendar.
Benefits of working
with Compliance Lab
A more orderly operation aligned with obligations
Clear internal processes and applicable manuals
Improvement of care indicators (IDATU) and management of requirements
Greater trust before clients, investors and authorities
Ongoing support from specialists