OUR SERVICES FOR CAPITAL MARKET FIRMS
Sectors that include Asset Management; Broker Dealers & Traders; Corporate Finance; Crowdfunding; FinTech; Infrastructure; Investment Management; P2P Lending; Private Equity; Venture Capital; Wealth Management.
Many firms use a specialist consultancy firm to strengthen their compliance capabilities.
Whether you’re seeking a consultancy partner for the first time, or want to benchmark your current provider and costs, Compliancy Services offers a genuinely fresh perspective.
A distinctive individual approach which allows us to craft a bespoke support package, rather than offer a ‘standard’ product or what you may have experienced previously. It’s essential to providing you with compliance assurance and value for money.
Why Compliancy Services?
Reliable Compliance Partner
Peer Learning
Dedicated, Specialist Team
RETAINED SUPPORT
Recognising that all firms are different in terms of their size, maturity, and complexity, we take the time to understand your firm and its requirements. For example, its business model, strategy, financial and resourcing challenges, risks, controls, and any concerns you have. This allows us to tailor a compliance support solution to meet your precise requirements.
We then review this, at least annually to ensure it remains appropriate and keeps pace with your company’s evolution.
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DEEP DIVE REVIEWS
Our ‘deep dive’ reviews offer a more detailed evaluation of the effectiveness of your compliance policies, procedures and systems and help you to address any issues that are identified.
For example, could the policies and procedures be implemented more efficiently, how are they communicated, adhered to and how do you manage breaches.
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COMPLIANCE HEALTHCHECK
Does your compliance framework meet your regulatory obligations? Even in the best run organisations there can be failings.
Our efficient and effective Compliance Healthcheck gives you the comfort and peace of mind that you have the necessary and appropriate compliance processes, procedures, manuals and documentation in place. If not, you will have a plan of action to remediate any weaknesses or failings identified.
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RETAINED SUPPORT OPTIONS
Examples of solutions we have to the day-to-day compliance needs and challenges that firms can face.
COMPLIANCE HEALTHCHECK
An independent assessment of whether your policies, procedures and documentation meet regulatory requirements. This gives you the peace of mind that you have the right compliance framework in place.
COMPLIANCE MONITORING
We can develop a compliance monitoring plan for you or review the effectiveness of your own plan. Once an approach is agreed, we can either execute the compliance monitoring plan on your behalf or subject your monitoring to independent review.
POLICY SUITE MANAGEMENT
As a regulated firm you must have adequate policies to comply with your regulatory obligations. At least once annually, we will review your policies and work with you to ensure these are up-to-date and fit for purpose.
FINANCIAL CRIME
You are required to periodically identify and assess the financial crime risks to which you are exposed as a result of the products and services you offer, the jurisdictions you operate in, customer types, transaction volumes and distribution channels. We can conduct such assessments or offer a robust independent review of assessments you have conducted.
DATA PROTECTION REVIEW
Independent assurance that you have appropriate policies, procedures and documentation in place to mitigate the risk of non-compliance with data protection obligations.
REGULATORY FILING
You are required to make periodic regulatory returns. We can either review your submissions prior to them being sent or prepare these on your behalf. Our services cover up to 22 different types of returns.
CAPITAL ADEQUACY
All firms have a duty to meet and maintain required capital requirements according to their regulatory permissions. Depending on your firm type this may involve an Internal Capital Adequacy Assessment Process (ICAAP) and/or an Internal Liquidity Adequacy Assessment Process (ILAAP). We can prepare or review these assessments and supporting documentation, ensuring that your firm is complying with its obligations.
SM&CR FRAMEWORK
We undertake a thorough, independent review of your Senior Managers & Certification Regime (SM&CR) policies, procedures, systems and documentation. We seek to identify compliance gaps, offer recommendations for improvement, and support and/or manage any remediation work that is required.
SM&CR SYSTEM
Our simple to use cloud based application has all the tools you need to manage the requirements of the Senior Managers and Certification Regime. Built by subject matter experts, Compliancy.SMCR stores information, evidences compliance, produces reports and documentation, automates reminders and helps readily identify and address gaps in your compliance.
ADVICE AND SUPPORT
On demand and proactive support from your Account Management Team, which is led by a specialist Consultant. They can answer your questions, provide advice or deal with specific issues for you. A set number of hours support per month and the option to purchase additional hours, if your requirements change.
ONLINE/FACE TO FACE LEARNING
Our specialist e-learning system has over 30 training courses, in addition to which we offer a broad range of face-to-face training topics, from Financial Crime and Data Protection through to Market Abuse and Conduct Rules.
RESOURCE AUGMENTATION
We can offer highly qualified team members at various levels on a part-time or secondment basis and to fill key roles such as SMF 16 (Compliance Oversight) or SMF17 (Money Laundering Reporting Officer).
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