Compliancy Services launch service solutions for Capital Market firms

  • Posted on: 17 August 2020

Capital Market firms are increasingly seeking additional compliance assurance or to outsource some or all of their compliance functionality. It’s being driven by increasing regulatory compliance demands, a spectre of greater personal liability that particularly arises from the Senior Managers and Certification regime, and a focus on costs.

Having the right compliance consultancy partner can enhance a firm’s own internal capabilities and ensure they have the appropriate resources, skills, knowledge and experience to manage their regulatory compliance obligations.

Compliancy Services already support hundreds of firms in numerous ways, for example through regular compliance monitoring, reviewing or managing regulatory returns, online and classroom training, benchmarking and compliance assurance reviews. From smaller firms seeking someone to manage their compliance, through to larger firms looking for specialist skills to fill resource gaps.

Kumar Ved, Managing Director at Compliancy Services, explains “Having examined Capital Market sectors and listened to our clients, we wanted to bring a genuinely fresh perspective. A transparent suite of solutions combined with a distinctive individual approach that results in a bespoke support package that gives out clients compliance assurance, peace of mind and value for money.”

Firms can choose a Compliance Healthcheck, to structure a retained support package or ‘deep dive’ reviews that offer a more detailed evaluation of the effectiveness of compliance policies, procedures and systems and helping firms to address any issues that are identified.

According to Philip Naughton, Joint Chief Executive of Compliancy Services, “what really helps us stand out is the access our clients get to our unique Compliance Select client portal which offers a range of benefits that include tools to help firms manage their compliance, customisable document templates, and relevant regulatory development updates.”

Firms can find out more about these new solutions visiting www.compliancy-services.co.uk/capital-markets-compliance-services

Key Contacts

Philip Naughton, Joint Chief Executive Officer

philip.naughton@compliancy-services.co.uk

+44 (0)20 3457 3168

Kumar Ved, Managing Director

Kumar.ved@compliancy-services.co.uk

+44 (0)20 3457 3169

Notes

Capital Markets

Compliancy Services is recognised as a leading compliance consultancy for firms in Capital Market sectors that include Asset Management, Broker Dealing & Trading, Corporate Finance, Crowdfunding, FinTech, Infrastructure, Investment Management, P2P Lending, Private Equity, Venture Capital and Wealth Management.