Expert Reports for Litigation or Regulatory Hearing Purposes

CAPL personnel have experience in providing expert guidance and preparing reports for litigation and regulatory hearing purposes. We can guide litigators on compliance, conduct and competence issues arising from disputes for the purposes of formulating litigation strategies and assessing the strengths and weaknesses of a case. In addition, we can prepare expert reports for the litigation process and testify in court in support of litigants. Rates are hourly and quoted to lawyers upon request.

Compliance Policies

CAPL can support mortgage and lending sector entities by developing tailored compliance policies, including anti-money laundering, know your client, suitability, privacy, cybersecurity and comprehensive general compliance policies.

Compliance Reviews

Benefit from our Regulatory Expertise

CAPL Compliance reviews your firm’s compliance framework and provides our guidance and recommendations, with a focus on achieving operational efficiencies wherever possible.
Our recommendations are based on a comprehensive analysis of your firm’s operations, including your business model, client base and compliance risks.

Ongoing Compliance Support

CAPL Compliance provides informed ongoing compliance support, helping you achieve peace of mind in the ever-evolving regulatory environment.  We begin by reviewing your firm’s compliance policies and procedures manual and understanding your firm’s unwritten control procedures and compliance practices against required regulatory obligations.

We assist with developing and implementing tailored compliance policy improvements and risk mitigations.

Regulatory Training

We provide up-to-date private narrated training for your employees that can  be delivered remotely. Training modules are tailored to your firm’s business model and policies.

​As new requirements pop up and existing guidance changes, we are continually revising and adding to our training library. Training sessions include Anti-Money Laundering, Know Your Client (KYC) /Know Your Product (KYP) and Suitability, Marketing, Privacy, Anti-Spam Legislation and Dealing with Senior and Vulnerable Clients.