Compliance and Regulatory Risk Management
FCA Corporate Authorisation - We provide assistance to new companies and new entrants to the UK, in achieving FCA authorisation ranging from small partnerships to large international firms. We assist in the provision of all key documentation required for the application pack and will project manage production and passage of the application through to authorisation. We will keep you informed right from start to finish until FCA communicates its final outcome.
Advisory Services - We provide a comprehensive range of Compliance advisory services tailored to your firm's FCA's permission, which includes pro active measures to reinforce the 2nd Line of defence and also to ensure the education about the impact of a set rules on the operation for 1st line of defence to act upon.
Compliance Outsourcing and Interim Resources - We assist in Compliance structure start ups depending on the level of support required. We recommend practical support to ensuring that your business meets its regulatory obligations in a manner that is consistent with the firms regulatory permission. Short term interim resources such as CF10 and CF11 can also be provided if necessary.
Compliance Monitoring and Assurance -Compliance Monitoring is an important part of the FCA SYSC requirements and there is a need to provide comprehensive coverage of the business and regulatory risks that a firm is exposed to in a proportionate manner. We will assist in building a comprehensive risk-based monitoring programme including implementation of test sheets. We can also provide assurance through extensive Compliance audits in instances of fraud, misconduct and breaches, as well as in preventing or resolving disputes.
Skilled Persons Report - We can assist in providing practical and cost effective skilled persons reports that will meet the requirements of the FCA's Section 166 orders through our expert professionals.
ICAAP - Our in house expert are experienced in producing and reviewing firm’s Internal Capital Adequacy Assessment Process and we will perform identification and quantification assessment of risks applicable to your business model to meet the minimum regulatory capital requirements.
Training - We provide a wide range of bespoke training courses delivered either one to one basis or in groups, to meet the FCA handbook requirement such as Market Abuse, Market Conduct, TCF, Fraud including Anti-Money Laundering and Anti-Bribery for all level of staff.
Other - We also provide a complementary package of key Compliance services covering Regulatory reporting , BCP testing, Financial promotion reviews, Client File reviews including Suitability testing and reviews, production of Compliance Manuals and key policies and procedures.