Our core strength lies in delivering bespoke advice to our clients based on regulatory best practice applied to their specific type of firm, as opposed to a tick-box, one size fits all approach.
Our consultants’ combined experience of working alongside similar type firms, means we are able to look at the regulatory landscape as a whole and then take each topic and interpret how the regulator addresses it based on the type of firm.
Click here if you would like more information on our ad-hoc/project work FCA support services.
We also invest in technology to deliver you quality and tailored solutions. We can provide you with a range of comprehensive policies and procedures designed for your firm. Our policies and procedures have been drafted by senior practitioners and general counsel and scrutinised by our entire team.
Aggregation & Allocation Policy
Conflicts of Interest Policy and Register
Dealing Errors Policy
Order Execution Policy
Risk Management Policy
Product Governance Policy
Algorithmic Trading Policy
Data Security, Cybersecurity and GDPR Policies
ICAAP (Internal Capital Adequacy Assessment Process) Document
Internal Reports (e.g. MLRO Report)
Financial Crime Policy and Risk Assessments