Consumer protection is at the heart of the FCA regulations and for Wealth Managers this has resulted in greater regulatory scrutiny on appropriateness and suitability as well as thematic reviews into specific product types.
Compliancy Services’ experienced Wealth Management team can help you interpret the regulations, using our in-depth knowledge to simplify complex regulations. Our practical, effective advice helps you put in place the appropriate compliance regimes for your business model and support your growth. We can advise on liquidity, capital and other prudential obligations, whilst keeping a sharp eye on the regulatory horizon.
We offer compliance consultancy and risk management outsourcing. You can see our range of services here
Our services are used by a broad range of Wealth Management firms, from newly set up to established, and many take advantage of our tailored retained support service
Regulators expect you to hold sufficient capital based on formulaic requirements, to regularly stress test liquidity risks and to have a robust wind down plan. Our specialist Prudential service can help you interpret the requirements and avoid common errors that are likely to lead to unwanted attention from the regulator. Find out more
We can assess your third party firm dependencies and in relation to outsourced services such as dealing, custody, transaction reporting and product manufacturing
We help you manage your financial crime prevention obligations
We offer advice on complying with MiFID II, including financial inducement rules and help you manage conflicts of interest, deliver best execution and comply with market abuse regulation
We offer a Compliance Healthcheck to ensure your systems, controls, policies and procedures meet your regulatory obligations
Our consultants work closely with you to get to the core of your business model and truly understand all your compliance needs, so you can concentrate on growing your business.
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Includes ex-regulators, industry practitioners and subject matter experts
Through the breadth and depth of their collective expertise and experience, we offer an outstanding service. Reducing the regulatory burden, minimising your time and resources, and ensuring that compliance makes a positive contribution to your business.