Compliance Support Services
Offering support as your first line of defence.
What we offer
1. Reviewing Financial Promotions
2. Preparing FCA returns
3. Investment Committee Participation
4. FCA Horizon Scanning
5. General FCA Compliance
Services
We offer assistance and expert guidance that is practical and straight forward, as and when needed.
- Submission of quarterly and annual FCA returns
- Addressing queries from the regulator
- Ad hoc advice on AFIM regulatory matters
- Regulatory horizon scanning
- Complaints handling support
- Preparation for compliance audits or regulatory inspections
- Review and updates to policies and procedures
- Compliance monitoring and testing
- Participation in investment committee meetings
- Review of financial promotions
- Drafting Information Memorandums, KIDs and other investor correspondence
Get in touch
We are here to get you started
