Tag Archives: compliance support services

Compliance Support Services Explained

Once your organisation has accomplished authorisation, you’re dedicated to satisfy a variety of on-going FCA compliance responsibilities. Companies either pick our consultancy services to help resolve specific issues or to handle the effect and impact of new policy or we tailor a retainer agreement to satisfy their particular continuous requirements.

Retainer agreement
Our extremely skilled group of compliance specialists have market and regulatory backgrounds supplying an unique mix of skillsets and giving you the confidence that your continuous regulatory responsibilities will be satisfied to a high expert requirement.

With retainer service contracts separately tailored to your organisation we provide an agreed service delivery and schedule. Having operated in your sector, our professionals understand your compliance obstacles and opportunities. They share their backgrounds and understanding to solve issues; so you reap the benefits of a unique sum total of competence.
Supplying you with budget certainty and on-demand access to an extremely trustworthy compliance partner and a topic expert panel, usually, our retainer contracts include:
  • Compliance management; setting up and your Compliance Monitoring Programme, including automating it if required.
  • Compliance audits; independent bench-mark reviews and health-checks to make certain your systems, controls, policies and regulatory procedures are kept up to date
  • Documents/Governance; such as policies and written processes or procedures
  • Financial promotions including initial reviews and ongoing assessments or critiques, including video and social media marketing
  • Training; e.g., informing personnel on anti-money laundering or assisting senior management create a suitable governance framework
  • Regulatory reporting; consisting of GABRIEL returns and evaluation of prudential requirements
  • For Payment Services companies based on PSD2, we provide distinct service plans particularly created satisfy the increased regulatory needs and responsibilities.
  • And Capital Market companies gain from a specific methodology which permits us to craft a bespoke, flexible assistance package
  • Companies fall into the Asset Management, Broker Dealers & Traders, Corporate Finance, Crowdfunding, FinTech, Infrastructure, Investment Management, P2P Lending, Private Equity, Venture Capital and Wealth Management can all benefit from individual; and tailored packages.

Contact us today on 0207 097 1434 or email info@complianceconsultant.org

    Compliance Support, Compliance Support Services, Compliance Support Specialist, Compliance Support Team, Compliance Support Tools, Ifa Compliance Support Services, Regulatory Compliance Support, Regulatory Compliance Support Services

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