Investment Compliance

Compliancy Services provides a thorough support service to a range of investment companies. Our service includes:

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.

Our clients include:

Did you know: 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.