Our clients rely on us to provide them with specialist consultancy services and support in an ever evolving regulatory environment. We routinely solve client specific issues, assist with changes in business structure and the effect and impact of new regulation on systems, policies and procedures. Our clients choose us because of our dedicated teams who are highly experienced, easy to deal with and are sector specialists.
We bring the experience we’ve gained working with firms facing similar issues to yours – which means you learn how your peers are addressing them. Our proven systems and processes minimise your time and resources, reduce your regulatory burden and make sure compliance makes a positive contribution to your business growth.
We offer Compliance Healthchecks so that your systems and controls are appropriate, for example to meet the Payment Services Regulations; in relation to Safeguarding Audits for Payment Services Providers and E-Money Firms; and for Capital Market firms in sectors that include Asset Management, Broker Dealers & Traders, Corporate Finance, Crowdfunding, FinTech, Infrastructure, Investment Management, P2P Lending, Private Equity, Venture Capital and Wealth Management.
Our independent audits include the mandatory annual independent AML audit as defined in MLD5
We provide file review and compliance monitoring checks to ensure that you’re following your policies and procedures
We can help you successfully to navigate a FCA investigation with our FCA investigation and remediation services
We can manage your FCA mandatory notifications, including Variations of Permission (VoP), Changes in Control (CiC) and Approved Person applications
Our Board Briefings provide clear, structured and summarised regulatory updates for your board, enabling them to make informed strategic decisions
We provide compliance function specific training for individuals and firms
We offer advice and support for new authorisations, and changes in your business models and structures
You’ll find us easy to deal with: we listen to and take the time to understand your challenges and opportunities. We simplify and clarify complex issues, offering practical, usable guidance and solutions that ensure your regulatory compliance.
We work as a team, bringing the substantial combined knowledge of Compliancy Services many specialists to address your individual challenges, however complex.
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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.