Some of Our Services

Compliance Consulting & Advisory

Ongoing or One-off Advisory Support
Regulatory Change Projects
Policies and Procedures
Training of Senior Management & Employees
FCA Applications
Setting up Compliance Framework or Enhancements to the Existing one
Compliance Monitoring & Assurance Review
Client Onboarding, KYC, PEPs & Sanctions
Prudential Requirements

MiFIR Transaction Reporting
Product Governance
Cost & Charges & EMT template
Investor Protection
Organisational Governance
Financial Promotions
SMCR
Brexit

Directives and Regulations

PRIIPs
MiFID II/MiFIR
MAD/MAR
Money Laundering Directives
PSD2
CFTC