Investment Compliance
At Compliancy Services we can provide comprehensive compliance support for a wide range of investment companies. These include:
- Investment Managers
- Wealth Managers
- Stockbrokers
- Corporate Finance firms
- IFAs
- Asset and Fund Managers (click here)
We provide a fully comprehensive support service including:
- Applying for your initial FSA license or Variation of Permissions
- Defining and implementing your Compliance Monitoring Programme
- Writing or updating all related documentation including Compliance manuals and procedures, client documents such as KYC
- Managing all risk management issues and the ICAAP process (for “BIPRU” firms)
- Providing full support for Training and Competence activities
- Managing FSA issues investigations, Variation of Permissions etc.
All of our clients are treated individually and considered in their own right to ensure that a personal and bespoke service is provided. Our consultants all have operational and commercial experience of the investment sector as well as being compliance experts in their own right, allowing them to understand your business and tailor your compliance systems accordingly.
To find out more Click here to contact us
