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.

Related content

Apex appoints Declan Byrne as Head of Loan Agency
Apex Group expands US presence with West Coast acquisition
Apex Group provides strategic compliance advisory to Thndr

Get in touch with our team

Submit your query