Regulations

Asset Manager or Securities Firm?

Complying with financial regulations is a complex task. We support your Compliance Officer and team with our regulatory analysis and commercial approach to solutions

We interpret regulations and implement with policies and procedures

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

Clearpoint implements the Senior Managers & Certification Regime into your governance and compliance structures

Have a specific regulatory technical question or implementing of new regulations - we can assist

We carry out mandatory reviews of policies required by the FCA

ICAAP
Pillar 3
Remuneration policies
Outsourcing
Liquidity risk

Monthly/quarterly fee structure for compliance and transaction testing.

On call advice and support for your Compliance Officer