Compliance

FCA Exemption

All firms engaged in regulated activities that are all wish to be authorised and regulated by the financial conduct authority (FCA) must be either authorised or exempt. If authorisation is a requirement, then we will be pleased to work with you and provide a complete turnkey package or a reduced package to edit and assist your own application efforts.

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Financial Directives

80% of regulation coming into the UK these days and 8 from Brussels and Broadgate consortium reads all of the incoming directives that impact upon financial services firms, particularly at clients. In many cases information will be available on this website, or if the regulations have a direct impact upon specific clients. We will be proactive and email and alert.

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FCA Compliance Consulting

There are always a number of reasons why the FCA will visit and the current ‘hot’ topics are Treating Customer Fairly (TCF) and data security. Whatever the reason for the visit, our knowledge and skills will bring comfort to your Management and historically we have always delivered a successful outcome for the firm.

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Money Laundering

Money laundering legislation in the UK is governed by three Acts of primary legislation:-

  • The Terrorism Act 2000
  • The Anti-Terrorist Crime & Security Act 2001
  • The Proceeds of Crime Act 2002
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Training and Workshops

  • Senior Management Responsibilities
  • ICOB Practical Workshops
  • MCOB Practical Workshops
  • Money Laundering
  • Client Money
  • Network & AR Compliance Training
  • SYSC & Approved Persons Course
  • Complaints Procedure
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