Compliance Monitoring & On-call Support Service
We provide face to face, virtual meetings, email and on-call support to you and your compliance officer.
This is followed by a monthly or quarterly compliance monitoring programme where we review your compliance processes against your business activities, order and transction sample testing and discuss any issues you wish to raise.
We charge a monthly or quarterly fee.
Compliance Services Include:
Compliance monitoring programme
emails and calls on issues within the month and general queries
We are your 'virtual compliance team'
Our banking, finance and legal skills means we apply a commercial approach implementing regulations
We provide SMCR compliant staff seminars and training on financial regulations using out online portal
We review and test you are complying with SMCR, AIFMD, CRR and CRD IV, MAR, MiFID and the FCA Handbook
We act as your in-house counsel - for complex issues and as required we work with the magic circle firms for legal opinions