Compliance normally consists of ensuring that activities undertaken agree with both the letter and the spirit of the standards, laws and/or regulations that govern a business or activity and the internal policies and procedures set down by that business for its own activities.

Plum Field Advisory (PFA) provides clients with the most professional and complete compliance consulting services. We design compliance plans/programs based on clients’ unique business models. Other factors, including the location and the industry, are also considered when customizing clients’ compliance plans/programs. What more important and makes PFA unique from other consulting firms is that PFA not only provides the strategies for implementing compliance activities, but also we help clients to execute the activities and evaluate them.

Analyzing Compliance status by utilizing CDP Model (compliance Diagnostics Program Model)

Suggesting the strategies for improvement of Compliance

Formulating the action plans for implementing and improving Compliance

Establishing sound and appropriate compliance structure

Drawing up rules, policies, and guidelines, such as Compliance Guideline, Code of Conduct, etc.

Providing customized compliance trainings to employees based on different functions and levels of position

Improving employees’ ethical behaviors

Responding to new laws and regulations

Designing reporting hotline and red-flag mechanism

Auditing compliance activities

Testing the employees’ understanding of Compliance

Please let contact PFA anytime if your company is facing difficulty of executing any items lest above. We PFA would be more than happy to solve your company’s problems and provide your company with the best solutions.