Gaining our experience through many years in operational roles and having been involved in many large scale remedial projects we can help your organisation to avoid some of the pitfalls encountered by others.
We can provide expert consultancy across a broad range of regulatory requirement such as:
- Advising your organisation on how best to deal with a specific issue with the regulator
- Providing experienced design and project management for a remedial requirement
- Providing advice on how to interpret and implement rules in a business effective way
- Guidance for senior management and approved persons on specific issues
- Developing compliant procedures or giving assurances that the procedures in place are compliant
- Guidance on how best to manage your relationship with the regulator
Our expertise covers the following areas:
Understanding FSA themes >>
Retail Distribution Review
Treating Customers Fairly
Preventing Financial Crime
Dealing with conflicts of interest
ARROW visits
Contract Certainty
Systems and Controls
MiFID advice
Preventing Financial Crime >>
Anti-money laundering
Insider trading
Market abuse
Fraud
FSA relations and process
Developing compliant procedures >>
Training and competence
Taking corrective action
Compliance operations and management
Embracing regulatory issues >>
Section 166 Advisory Services
Taking corrective action
New rules and regulatory developments
Systems and Controls
FSA relations and processes
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