We understand that the key to successful compliance is the establishment of robust systems and controls, producing a strong compliance culture within your business. Our compliance solutions team works in partnership with your team to provide a tailored service, delivered in a comprehensive, practical and cost-effective manner. Headed by ex CCO and COOs and staffed by experienced industry professionals, we have wide ranging expertise, covering a variety of industry sectors and international regulatory regimes.
Services include
- Adviser CCO/consulting services
- Regulatory Mock Audit Service
- National Futures Associates. (NFA)/Commodity Futures Trading Commission (CFTC) Compliance
- Anti-Money Laundering Training and Audit Services
- RIA/ERA Registration (Form ADV)
- Form PF & CPO-PQR Services
- Licence applications to regulators in the UK and the US
- Design and implementation of risk-based systems and controls encompassing compliance, operations, risk and corporate governance
- Delivery of interactive compliance management and monitoring solutions using Apex-exclusive web-based technology
- Company health checks involving a holistic review of the firm’s systems and controls
- Outsourced registered compliance and money laundering reporting officer functions (SMF 16 and 17) under the FCA’s SM&CR
- Onboarding due diligence
- Liaising with and reporting to the Board
