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Compliance
Consulting

Our team of compliance experts can provide you with the support and solutions tailored to your needs. The RQC Group focuses on providing our consultants the tools to succeed in their job, so that they can provide you the tools to succeed in yours.

Our experts have been undertaking FCA applications since 2003, so we fully understand the big picture and can help you meet the FCA’s expectations in demonstrating that your firm is present in the UK and able to meet the Threshold Conditions.

We can save you time and money by managing your application, variation of permission or change of control.

Authorisation

Our applications team, supervised by Matt Raver, has unparalleled experience across our sector, with a combined experience of processing over 500 FCA applications. We will manage your application in a way that minimises your work so that you focus on the information that only you can provide – drafting the regulatory business plan and correspondence with the FCA.

Ongoing Compliance Support

Our ongoing compliance support is at the core of what we do at the RQC Group, allowing us to fully understand your business and provide the appropriate advice. Our experts understand the difference between regulatory requirements, best practice, industry standard and a commercial decision and apply that knowledge to help you grow your business.

Our suite of compliance policies and procedures are designed with the institutional investor in mind and can be fully integrated with your FCA obligations.

Health Checks & Projects

Our team can carry out a number of different health checks and projects with our clients, based on their specific needs. We can also help you with the implementation of regulatory change – whether small projects like IFPR or SMCR, or larger ones such as MiFID II.

Compliance Training

We can deliver tailored compliance training, in person or online. Our CPD-certified online FCA Compliance training courses have been designed to be as straightforward as possible, to ensure that the content of each course is proportionate to the training needs of each individual.

Advising on the U.S. Securities and Exchange Commission regulations was one of the reasons we started the RQC Group. Our team is fluent in U.S. regulations and more importantly, know how to translate and apply those rules for you.

The starting point is understanding the analysis of why your firm is required to register with the SEC and any exemptions that will keep you out of registration.

Registration

Our compliance experts are here to efficiently manage your registration, drafting the Form ADV that will help meet your disclosure obligations and any issues that the SEC are focusing on.

Ongoing Compliance Support

Our ongoing support allows us to help implement the appropriate policies and procedures and ensure that they are adequate and effective. We encourage you to proactively work with us to identify and manage regulatory issues.

Our advice and guidance is designed with the institutional investor in mind so you can focus on growing your business, meet the expectations of the regulator and look like your peer group.

SEC Annual Reviews and Health Checks

Our senior SEC consultants are a cost-effective solution to carry out the Annual Review, health checks or a number of different thematic reviews and projects.

Compliance with the U.S. Commodities Futures Trading Commission regulations means that your firm must register as a member of the National Futures Association (“NFA”) and comply with their rules. Our team includes ex-regulators.

We can help you understand why you need to register with the NFA and any exemptions to keep you out of unnecessary regulation.

NFA Registration

Our experts can efficiently help you register as a Commodity Pool Operator or Commodity Trading Advisor. We will manage the project and guide your firm throughout the process.

NFA Ongoing Compliance Support

We can provide you with ongoing compliance support to help you understand your regulatory requirements and make sure you are complying with them.

NFA Reviews and Projects

Our senior consultants carry out a number of different projects with our clients including health checks and completion of the NFA Self-Examination Questionnaire.

Advising on SEC regulations was one of the reasons we started the RQC Group. We understand the regulations and how to apply them pragmatically to your firm’s business.

The starting point is understanding the analysis of why your firm is required to register with the SEC and any exemptions that will keep you out of registration.

Registration

Our compliance experts are here to efficiently manage your registration, drafting the Form ADV that will help meet your disclosure obligations and any issues that the SEC are focusing on.

Ongoing Compliance Support

Our ongoing support allows us to help implement the appropriate policies and procedures and ensure that they are adequate and effective. We encourage you to proactively work with us to identify and manage regulatory issues.

Our advice and guidance is designed for the institutional investor in mind so you can focus on growing your business. Meet the expectations of the regulator and look like your peer group.

SEC Annual Reviews and Health Checks

Our senior SEC consultants are a cost-effective solution to carry out the Annual Review, health checks or a number of different thematic reviews and projects.

Compliance with the Commodities Futures Trading Commission regulations (“CFTC”) means that your firm must register as a member of the National Futures Association (“NFA”) and comply with their rules. Our team includes ex-regulators.

We can help you understand why you need to register with the NFA and any exemptions to keep you out of unnecessary regulation.

NFA Registration

Our experts can efficiently help you register as a Commodity Pool Operator or Commodity Trading Advisor. We will manage the project and guide your firm throughout the process.

NFA Ongoing Compliance Support

We can provide you with ongoing compliance support to help you understand your regulatory requirements and make sure you are complying with them.

NFA Reviews and Projects

Our senior consultants carry out a number of different projects with our clients including health checks and completion of the NFA Self-Examination Questionnaire.

Our experts have been undertaking FCA applications since 2003, so we fully understand the big picture and can help you meet the FCA’s expectations in demonstrating that your firm is present in the UK and able to meet the Threshold Conditions.

We can save you time and money by managing your application, variation of permission or change of control.

If you have an office in the UK we can also support you with FCA compliance services.

Authorisation

Our applications team has unparalleled experience across our sector, with a combined experience of processing over 500 FCA applications. We will manage your application in a way that minimises your work so that you focus on the information that only you can provide – drafting the regulatory business plan and correspondence with the FCA.

Ongoing Compliance Support

Our ongoing compliance support is at the core of what we do at the RQC Group, allowing us to fully understand your business and provide the appropriate advice. Our experts understand the difference between regulatory requirements, best practice, industry standard and a commercial decision and apply that knowledge to help you grow your business.

Health Checks & Projects

Our team can carry out a number of different health checks and projects with our clients, based on their specific needs. We can also help you with the implementation of regulatory change – whether small projects like IFPR or SMCR, or larger ones such as MiFID II.

Compliance Training

We can deliver tailored compliance training, in person or online. Our CPD-certified online FCA Compliance training courses have been designed to be as straightforward as possible, to ensure that the content of each course is proportionate to the training needs of each individual.


Accessible

All courses are accessible on our bespoke web or app platforms immediately upon purchase.

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Automated

All courses are delivered through fully-automated, interactive online visual solutions.

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Affordable

Courses cost from as little as £20 per Learner per Course, or £6 per Learner on Subscription.

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Certified

A certificate is issued on successful completion of all courses for compliance-filing and all UK courses are CPD-certified.

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Measurable

All courses include regular ‘Check Your Knowledge’ sections throughout and an end-of-course Quiz.

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Fast

Courses take from 30 to 90 minutes to complete and can be viewed and completed in multiple sittings.

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Purchasing, Onboarding & Volume Discounts

You can purchase any combination of our broad range of e-Learning courses and onboard multiple users in your Firm, in just four quick and easy online steps:

  1. Select the courses and add them to your Basket
  2. Checkout and purchase your course(s)
  3. Sign In and Register your relevant employees/Users
  4. Allocate all your registered employees/Users to their course(s)

We’ll help you connect the dots with clear prompts and assistance throughout this quick and easy four-step process, which includes applying automated Volume Discounts depending on the number of courses you purchase, as follows:

Number of courses Volume Discount
10 – 24 Courses 2.5% Discount
25 – 49 Courses 5% Discount
50 – 99 Courses 7.5% Discount
100 – 149 Courses 10% Discount
150 – 199 Courses 12.5% Discount
200 – 249 Courses 15% Discount
250 – 299 Courses 17.5% Discount
>300 Courses 20% Discount

You will receive an enrolment email for each Course you sign Users up to.

Once registered and enrolled onto their course(s), your employees/Users will each receive a welcome email inclusive of their login credentials/instructions together with a separate enrolment confirmation for each of their courses.

All Clients have access to a centralised User Dashboard with Live Reporting on the progress of all your enrolled employees/Users and from where you can download all your employees/Users Course Certificates once they have successfully completed their courses. This is clearly explained in our Power User Guide, downloadable from your Account.

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