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.
- 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 firstname.lastname@example.org
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