Group

Outsourced Compliance

Outsource the management of your ongoing compliance and regulatory obligations to our team of experts.

You will be provided with outsourced compliance support from a dedicated Compliance Manager that is supported by a wider internal team of accountants, lawyers, investor relations, risk managers and investment professionals.

Our Ongoing & Outsourced Compliance solution offers you with the necessary support to meet your ongoing compliance and regulatory obligations.  

Our team will assist you with the following ongoing services:  

  1. ComplianceMonitoring 
  2. Board Reporting 
  3. Regulatory Reporting to the FCA
  4. Training of staff 
  5. Policy updates  
  6. Regulatory News Updates 
  7. Approved Person Applications
  8. ICAAP Updates(where applicable) 
  9. Technical Advice 
  10. Regulatory Capital Monitoring 
  11. Review of Marketing Materials
  12. Complaints Handling
  13. AML support 

All the above is supported by RegIQ, our online compliance management system.  

We are interested in forming long term relationships with our clients, working hand in hand with you to mitigate your compliance risk whilst helping you do business.

For further information, please download our flyer.