Category Archives: compliance consultancy services

SAR Workshop and Adverse Media Risk Assessments

Subject Access Reports Workshop and Adverse Media Risk Assessments for business and recruitment. Complete the form below to contact us! What Makes Compliance Consultant Courses Different Failure to file an appropriate SAR can lead to big trouble. But regulators also caution against filing unwarranted “defensive” SARs.  Our experts provide practical advice for the high-wire balancing […]

33 Cryptocurrencies Described In Four Words Or Less

Bitcoin is the first blockchain based cryptocurrency and is the popular and most valuable one. The popularity of Bitcoin has given birth to hundreds of alternate crypto-currenies designed with various specifications and functions. Some of these cryptocurrencies are clones of Bitcoins and few are forks. With so many cryptocurrencies out in the market, where new […]

Overseas & Foreign Companies and UK FCA Authorisation FAQs

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Setting up a business to work from London, UK, when you are an overseas entity can be daunting and is not for the feint-hearted, but we can help with this range of FAQs concerning setup, property, recruitment and authorisation with the FCA or PRA. To have us act as your agent while set up is progressed is easy and cost effective. Contact us today 0207 097 1434.

The SMCR 2019 Project Plan to End of 2019

As we all know, the Treasury has directed the FCA to extend the Senior Managers & Certification Regime (SMCR) to all financial services firms in the UK. Many firms have still not started to prepare for their SMCR deadline of 9th December 2019. We have created a 90+ point project plan for all firms, where we can conduct the entire project for you or you can buy our plan and conduct it yourself.

Making Compliance Work: A Short Overview of Board Minutes

Lee Werrell, Chartered FCSI and owner of Compliance Consultant states, “As with all good compliance; it’s not what you do, it’s what you wrote down that you did and why”.

What Is The SMCR Implementation Time Scale

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Concerning the SMCR for remaining FCA authorised firms under FSMA Authorisation The largest challenge for the remaining FCA authorised firms under FSMA, who will need to execute changes to obey all components of SMCR is time scale. The larger organisations who will undergo the enhanced regime must not miscalculate the time and energy necessitated to […]

Do You Have Control of Your Risk & Compliance Documents?

Deep in the heart of your company’s network directories are in all likelihood to be a variety of vital documents. These documents could well save your business in the event of prosecution, regulatory enforcement, employment tribunal or a complex insurance claim. They are your risk & compliance documents. Failure to manage and/or deliver this documented evidence can put your business at considerable risk of fines, regulatory scrutiny and even prosecution (even if you are actually compliant).

Can You Really Afford Generic Ongoing Compliance Support?

The problem with most firms, whether they be IFAs, Stockbrokers, Payment Services or whatever sector, is that the Compliance Officer is treated unfairly, if they are running the compliance function as a component of their job. Whether they are advising, trading or operate the financial side of the business, unlike 10 or even 5 years […]

Fresh FCA proposals on operational and security risk management by Payment Services Providers (PSPs)

  During March 2018, the FCA issued its consultation paper (CP18/6) on its proposed approach to the application of the European Banking Authority’s (EBAs) final guidelines on security procedures for operational and security risks of payments services under PSD2. The Latest Approach document, Version 2, was released 19th December 2018  Generally, the documents do […]

Can You Really Afford Generic Ongoing Compliance Support?

Compliance is an ambivalent function. On the one hand you are viewed as the regulators’ ally inside the investment firm; overseeing the implementation of their regulation. Meanwhile, you are paid by the investment company and a component of their culture and hierarchy. You might say ‘front office’ (traders making the money) considers compliance the way […]