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 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.
Our ongoing compliance services include:
- Provision of policies and procedures
- Development and execution of the compliance monitoring programme
- Strategic compliance planning
- Marketing and financial promotions review
- General regulatory and compliance advice
- FCA RegData reporting
- FCA CONNECT filings
- Threshold disclosure reporting
- Assistance with correspondence and interaction with the FCA
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
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.
We offer a broad range of health checks and project work, including:
- Variation of permission application
- Change in control application
- Mock audit
- Compliance ‘health check’ review
- Targeted ‘deep dive’ compliance review
- Policy and procedure gap analysis
- Assistance with compliance remediation projects
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.
Our ongoing compliance services include:
- Review and updating of compliance policies and procedures
- Development and maintenance of the compliance monitoring program
- Quarterly onsite monitoring meetings
- Annual compliance training
- Annual compliance review
- Form ADV
- Form PF
- Marketing materials review
- Targeted compliance testing
- Employee electronic communications review
- Ad-hoc regulatory queries
- Assistance with regulatory examinations
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
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, including:
- Assessment and development of risk-based policies and procedures
- Targeted training
- Annual compliance review, in accordance with Rule 206 (4)-7
- Policy and procedure gap analysis
- Mock audit and interview preparation
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.
Our ongoing compliance services include:
- Review and updating of policies and procedures
- Development and maintenance of the compliance monitoring program
- Quarterly onsite review meetings
- Assistance identifying associated persons, principals and branch offices
- Form 7R and Form 8R/8T
- Marketing materials review
- Assistance with regulatory filings and annual updates e.g., CPO-PQR and CTA-PR, NFA registration update, NFA Self Examination Questionnaire
- Frequent industry updates
- Ad-hoc regulatory queries
- Assistance with regulatory examinations
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
NFA Reviews and Projects
Our senior consultants carry out a number of different projects with our clients, including:
- Assessment and development of risk-based policies and procedures
- Review of NFA Self-Examination Questionnaire
- Policy and procedure gap analysis
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.
Our ongoing compliance services include:
- Review and updating of compliance policies and procedures
- Development and maintenance of the compliance monitoring program
- Quarterly onsite monitoring meetings
- Annual compliance training
- Annual compliance review
- Form ADV
- Form PF
- Marketing materials review
- Targeted compliance testing
- Employee electronic communications review
- Ad-hoc regulatory queries
- Assistance with regulatory examinations
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
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, including:
- Assessment and development of risk-based policies and procedures
- Targeted training
- Annual compliance review, in accordance with Rule 206 (4)-7
- Policy and procedure gap analysis
- Mock audit and interview preparation
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.
Our ongoing compliance services include:
- Review and updating of policies and procedures
- Development and maintenance of the compliance monitoring program
- Quarterly onsite review meetings
- Assistance identifying associated persons, principals and branch offices
- Form 7R and Form 8R/8T
- Marketing materials review
- Assistance with regulatory filings and annual updates e.g., CPO-PQR and CTA-PR, NFA registration update, NFA Self Examination Questionnaire
- Frequent industry updates
- Ad-hoc regulatory queries
- Assistance with regulatory examinations
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
NFA Reviews and Projects
Our senior consultants carry out a number of different projects with our clients, including:
- Assessment and development of risk-based policies and procedures
- Review of NFA Self-Examination Questionnaire
- Policy and procedure gap analysis
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 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.
Our ongoing compliance services include:
- Provision of policies and procedures
- Development and execution of the compliance monitoring programme
- Strategic compliance planning
- Marketing and financial promotions review
- General regulatory and compliance advice
- FCA RegData reporting
- FCA CONNECT filings
- Threshold disclosure reporting
- Assistance with correspondence and interaction with the FCA
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
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.
We offer a broad range of health checks and project work, including:
- Variation of permission application
- Change in control application
- Mock audit
- Compliance ‘health check’ review
- Targeted ‘deep dive’ compliance review
- Policy and procedure gap analysis
- Assistance with compliance remediation projects
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.
