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We act as your in-house counsel  - for complex issues and as required we work with the magic circle firms for legal opinions

Testing

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We review and test you are complying with IFPR, SMCR, AIFMD, CRR and CRD IV, MAR, MiFIDPRU 

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Fees

 

We charge a monthly or quarterly fee.

Compliance Services Include:​

  • Compliance monitoring programme

  • onsite visits

  • emails and calls on  issues within the month and general queries

Compliance Monitoring & On-call Support Service

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We provide face to face, virtual meetings, email and on-call support to your compliance officer.

We run a bi-monthly or quarterly compliance monitoring programme where we review your compliance processes against your business activities, order and transaction sample testing and discuss any issues you wish to raise.

Staff Training

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We provide SMCR compliant staff seminars and training on financial regulations using out online portal

Compliance

We are your 'virtual compliance team'

 

Our banking, finance and legal skills means we apply a commercial approach implementing regulations

ICARA

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We provide support in drafting your annual ICARA required for  MiFIDPRU 

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