Once your business has achieved authorisation, you're committed to fulfil a variety of on-going FCA compliance obligations. Firms offering Consumer Credit have the option of our specialist RegTech enabled service that helps them manage their own compliance, Compliance Select. Other firms either choose our consultancy services to help solve specific issues or to manage the effect and impact of new regulation or we tailor a retainer contract to meet their specific ongoing needs.
Our highly experienced team of compliance consultants have industry and regulatory backgrounds providing a unique mix of skillsets and giving you the confidence that your ongoing regulatory obligations will be met to a high professional standard.
With retainer service contracts individually tailored to your business we offer an agreed service delivery and schedule. Having worked in your sector, our experts understand your compliance challenges and opportunities. They share their backgrounds and knowledge to solve problems – so you reap the benefits of an unrivalled sum total of expertise.
Providing you with budget certainty and on-demand access to a highly reliable compliance partner and a subject matter specialist panel, typically, our retainer contracts include:
Compliance management – installing and managing your Compliance Monitoring Programme
Compliance audits – independent reviews and healthchecks to make sure your systems, controls, policies and procedures stay up to date
Documentation – such as policies and procedures
Financial promotion reviews
Training – for example, educating staff on anti-money laundering or helping senior management establish an appropriate governance framework
Regulatory reporting – including GABRIEL and assessment of prudential requirements
For Payment Services firms subject to PSD2, we offer distinctive service packages specifically designed to meet the increased regulatory demands and obligations.
We can help UK and EEA firms consider their Brexit strategy and offer award winning FCA authorisation services should EEA firms have to be directly authorised
So far most activity in Bitcoin – and the many other cryptocurrencies that have been founded in its wake – has been unregulated. But that situation is about to change.
Fifth Money Laundering Directive
5MLD introduces a number of enhancements which strengthen financial crime regulation and for the first time brings cryptocurrency firms into scope
We can help firms prepare their Green FinTech Challenge application and navigate through to successful authorisation.
PSD2 has significant reporting and notification requirements, strict ongoing regulatory obligations and mandatory annual audits, some of which require independent verification.
Our Safeguarding Review Service ensures that Payment Service Providers can complete the Financial Conduct Authority's Safeguarding Attestation with confidence and to meet the 31 July 2019 deadline
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.