Regulatory consulting

Our compliance services include:

Applications

We offer assistance with your regulatory application and other applications for approval of individuals, variation of permission, change in controller and waivers. We work with you to build the application pack with all forms and relevant documents and can help with regulator queries.

Compliance healthchecks

As a one-off or annual check, we can review your compliance arrangements and procedures including your systems and controls, policies, risk management and documentary evidence to ensure regulatory compliance.

Regular compliance monitoring

We offer advice and support you need to be confident that you are meeting your regulatory requirements and industry best practice. Our ongoing monitoring service involves the review of your existing compliance procedures and documentation, implementation of a tailored, up-to-date Compliance Monitoring Programme, formal on-site visits and ad-hoc advice.

Compliance documentation

We can help you to create compliance manuals, monitoring programmes, policies and procedures. Our range of compliance documents include client classification letters, anti money laundering procedures, training and competence, senior management systems and controls, treating customers fairly (TCF), personal account dealing, liquidity policy and internal liquidity adequacy assessment (ILAA), remuneration, financial promotions, complaint handling and business continuity plans.

Training and competence

To ensure that your staff are informed and updated on regulatory issues, we provide specialist training to your firm on a range of issues, including general regulatory updates, anti money laundering, the responsibilities of approved persons and the responsibilities of non-executives and the board.