Regulatory Solutions

Bring clarity to financial services regulatory compliance with our tailored solutions.

MJ Hudson Regulatory Solutions provides tailored compliance support in addition to “plug and play” solutions for all types of investment businesses – buy side, sell side and everything in between. Our primary goal is to help you do business whilst mitigating compliance risk.

We support clients with a range of needs that include:

  • Business as usual compliance: we provide day-to-day support for all your compliance needs and this can range from a fully outsourced model to being on hand to answer ad-hoc queries. We are supported by MJ Hudson Law who can provide a legal opinions as required.
  • Business change: Whether you are launching a new business from scratch and require FCA Authorisation, integrating operational processes across business lines or launching a new product we can provide practical and proportionate operational, governance and compliance support to ensure that relevant regulatory requirements are met.
  • Regulatory change: The European and UK authorities are frequently brining in new regulations and the associated acronyms. We can provide close and continuous advice and guidance along the path to implementation. The team has recent experience of implementing MiFID II, Market Abuse Regulation, General Data Protection Regulation, Asset Management Market Study Remedies,
  • Training: We can provide generic or bespoke training course to your board, senior managers and business teams on a variety of compliance topics.
  • Resourcing pressures: We can deploy full time compliance or project resources in relation to any of the areas mentioned above, this can range from 1 to 24 months.
  • Reg iQ: A compliance platform to assist all types of firms manage their compliance infrastructure.

MJ Hudson’s regulatory solutions practice covers: Alternative Investment Fund Managers Directive (AIFMD); Directive on Undertakings for Collective Investment in Transferable Securities (UCITS); market abuse; financial crime; data protection; prudential and conduct rules; best execution; FCA/PRA authorisations; market surveillance; Markets in Financial Instruments Directive (MiFID); PRIIPS; strategic support and technical advice to MLROs and Heads of Compliance; derivative valuations; valuation waterfall policies; AML; Bribery Act; ICAAPs; SMCR; financial promotions; marketing of AIF; enterprise risk frameworks; fund launches and investment management agreements; transaction cost analysis; payments and e-money.

The Senior Managers and Certification Regime (SMCR) comes into effect for solo-regulated firms on 9 December 2019. We have produced a helpful video which explains the associated Conduct Rules that will apply to the majority of employees which can be viewed here.

A list of hot regulatory topics can be viewed here. MJ Hudson Fund Management Solutions has a wealth of experience advising on each of these topics.