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Avoid regulatory risk and potential penalties by strengthening your governance, risk, and compliance controls. We help capital market firms build stakeholder confidence by addressing areas of concern before they become findings, not after an examiner flags them.
Compliance examinations, monitoring programs, and CMA reporting
Risk identification and management, including the annual Risk Assessment Questionnaire
Governance frameworks for CMIs
Let our ex-CMA inspectors assess and audit your organizational controls. Move with confidence knowing your firm complies with Article 62 of the Capital Market Institutions Regulations, and knowing exactly what to fix if it doesn't.
Generic auditors work from a checklist. Ours worked inside the CMA's own inspection process, so they know the difference between a control that looks right on paper and one that actually holds up under regulatory review, before you find out the hard way.
A control is ticked when the document exists.
A control passes when it holds up under regulatory review.
Dal proved to be a great partner in enhancing our GRC functions. The success of our initial risk project demonstrated their value so clearly that we engaged them for a full-scale implementation across all GRC domains. To us, Dal isn't just a vendor, they're a strategic partner in navigating the capital markets regulatory environment.
We couldn't be happier with Dal's support. They helped us navigate risk and regulatory requirements with clarity and simplicity. Their deep expertise and actionable insights were immediately implementable. What truly sets them apart is their genuine partnership, acting as a real extension of our team.
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What CCOs and boards ask before an engagement.
