Our motto is:

"Good Compliance Procedures"

equal

"Good Business Practice"

 

Some companies which operate in the financial markets are certain that their internal control and risk management systems are foolproof and that their employees are always going to behave in a professional, upright, honest manner.

Other companies are aware that recent history tells us that this is not always the case – and also suspect that their own compliance procedures could be improved, but are unsure in which areas.

We solve these concerns

The services we offer to clients include:

• A "health check" of existing compliance arrangements.
• A review of existing compliance manuals and operating procedures.
• Advice and support to enable authorised firms to get out of "Enforcement" rapidly.
• Acting as "locum" compliance staff.
• Assisting in obtaining authorisation by any of the regulators (for details, see the page on this website headed Obtaining Regulatory Authorisation)
• Advising on all matters relevant to good Corporate Governance.
• Product design and regulatory clearance.
• A full range of training in all aspects of regulation for all members of staff, be they directors, traders, fund managers or support teams (for details, see the page on this website headed Education & Training)

 

The Problems

The proliferation of investment and banking regulations - and the increasing size of the fines for breaches of those regulations - means that few Compliance Officers sleep easily at night. Board Directors bear the responsibility, often without having detailed knowledge of complicated investment activities.

How can you get back in control?

Should you recruit someone with investment/trading experience? Would he have sufficient understanding of the regulations?

Should you recruit a former regulator? Would he have the practical business experience required?

We solve the problems with you

We do not offer a "black box" solution. We work closely with your existing team, training them in all facets of UK financial regulations - with your legal or compliance department on the practical details of regulation; with your computer department on the data and system requirements; and with your accounting department on monitoring exposure to financial investments. Our consultants make recommendations on efficient procedures that can be pursued in all these areas, but it is your team that makes the final decisions. It is your team that will run the operation at the end of our consultancy period.