Services ｜ Compliance Advisory ｜ Continuous Compliance Assistance
Navigating your continuous compliance responsibilities
As an authorized firm, you'll encounter enhanced reporting, notification requirements, and compulsory annual audits. These obligations vary in complexity, some necessitating independent verification, while others require significant time and effort. Such demands pose substantial challenges for compliance officers and management teams to maintain the requisite knowledge and expertise for compliance.
Our clients depend on us for expert consultancy services and support amidst a constantly evolving regulatory landscape. Through our retained services, firms gain the assurance needed to address inquiries or resolve issues highlighted by regulatory authorities. We specialize in addressing client-specific challenges, aiding in organizational restructuring, and navigating the implications of new regulations on systems, policies, and procedures.
How we can help
Leveraging the insights gained from assisting firms with challenges akin to yours, we enable you to understand how your peers are navigating similar situations. Our retainer packages for Payment Services and Capital Markets firms are designed around our tested systems and processes to optimize your time and resources, alleviate regulatory pressures, and ensure compliance positively impacts your business growth.
Our approach is straightforward and client-focused: we actively listen and dedicate time to comprehending your unique challenges and opportunities. By demystifying complex issues, we provide clear, practical advice and solutions that guarantee your regulatory compliance is maintained efficiently.
Our Services
Regulatory Reporting
Regulatory reporting is crucial for maintaining compliance. Errors can prompt investigations by questioning a firm's controls. We ensure accurate reporting from the start.
Consumer Duty
If you aim to offer regulated financial services, we can assist in navigating around potential pitfalls and avoiding delays in your authorization application.
Compliance Healthcheck
Our Compliance Healthcheck ensures your compliance frameworks are effectively in place, offering you reassurance and peace of mind.
Financial Crime
We support firms in various financial sectors, especially those facing complex financial crime challenges, by ensuring strong governance, risk management, and internal controls.
Variation of Permission
For authorized firms aiming to modify regulated activities, launch new business lines, or expand product/client offerings, we provide expert support for your Variation of Permission (VoP) application.
Change in Control
If you plan to acquire a regulated firm, you must submit a Change in Control (CiC) notification to the regulatory authority and obtain approval before proceeding.