SUPPORT
Regulatory advice & Compliance support
Ongoing partnerships with our clients are where we provide our most valuable support.
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Working closely with a business over the long-term ensures that our advice goes beyond what the rule books says and our solutions really make sense for your business.
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Our aim is to know you so well that we feel like an extension of your team that you can access whenever you need to.
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Ongoing support clients can access all of our compliance and regulatory services. Here are some examples of what our time is used for:
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On tap advice for the compliance officer
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Preparation of policies, procedures and monitoring plans
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Compliance and financial crime training
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Regulatory strategy around the launch of new services or other business changes
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Board meeting and committee attendance
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FCA notifications and applications
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Regulatory change projects, such as SM&CR
ONGOING SUPPORT
PROJECT WORK
We undertake one-off projects for clients who need expertise at a particular point in time. We have an array of precedents to work from, but we deliver our projects in a bespoke way, fitting the exact needs of your firm.
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Below are some of the most asked about projects:
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Compliance and financial crime training
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Mock FCA visits and health checks
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Risk assessment facilitation
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Board meeting and committee attendance
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FCA authorisations and variations of permission
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Changes in control and regulatory due diligence
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Regulatory change projects, such as SM&CR
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Secondments
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