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 former Chief Commercial Officers (“CCO”) and Chief Operating Officers (“COO”) and staffed by experienced industry professionals, we have a wide range of knowledge, covering a variety of industry sectors and international regulatory regimes.
Services include:
- Adviser CCO/consulting services
- Regulatory mock audit service
- National Futures Association / Commodity Futures Trading Commission 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 our 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
