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:
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.
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