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.
And Capital Market firms benefit from an individual approach which allows us to craft a bespoke support package. Firms in sector that include Asset Management, Broker Dealers & Traders, Corporate Finance, Crowdfunding, FinTech, Infrastructure, Investment Management, P2P Lending, Private Equity, Venture Capital and Wealth Management.
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.