We create, develop and manage compliance departments in financial services firms with worldwide and regional operations.  We also have close ties with legal and accountancy professionals which enable us to offer our clients a seamless professional services solution.

Our services include:

Preparation of firm applications for regulatory permissions, payment services and electronic money authorisation from financial markets and stock exchange regulators

Drafting regulatory compliance manuals, compliance monitoring programmes, trading terms of business and client application documentation

Management of firm reporting and approvals requirements via the Financial Conduct Authority's (FCA) GABRIEL and ONA and the Securities and Exchange Commission's EDGAR systems 

Extensive experience with interpretation and practical application of the FCA Handbook (particularly for BIPRU firms) and the AML Joint Money Laundering Steering Group Guidelines (JMLSG) and successful advocacy for application of these regulations in a manner favourable to our clients

FCA Controlled Function 10 (Compliance Oversight) and Controlled Function 11 (Money Laundering Reporting Officer) for client investment firms

Acting as liaison and relationship manager with various divisions within the FCA including Supervision, Enforcement, Authorisations, Change of Control, Variation of Permissions and Transaction Reporting, stock exchanges (including the London Stock Exchange and its Alternative Investment Market and the Johannesburg Stock Exchange) and the Takeover Panel

FCA ICAAP preparation; coordination and management of ARROW visits and interviews

Coordination of Data Protection Act (DPA) registration and ongoing DPA compliance