FCA - Ad-hoc/Project work

Our senior consultants have extensive experience working in-house with a variety of different financial services clients, as well as fluent cross-border expertise in Europe and the United States.

FCA - Ad-hoc/Project work

Our senior consultants have extensive experience working in-house with a variety of different financial services clients, as well as fluent cross-border expertise in Europe and the United States.

About our service

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.

Service Checklist

Examples of recent project work includes:

MiFID II Gap Analysis

AIFMD vs MIFID II Gap Analysis

FCA vs SEC Gap Analysis

Research policies and procedures

Corporate Governance & SYSC

AIFM Reporting to Fund Board

Remuneration

Conflicts of Interest

Conduct of Business

Retail Distribution Review

Client Onboarding

Disclosure Documents for UCITS and PRIIPS

Customer Due Diligence for AML

Passporting & Private Placement

SMCR

Brexit scenario analysis

U.S. Regulatory Analysis

Policies and procedures

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.

These include:

Aggregation & Allocation Policy

Conflicts of Interest Policy and Register

Dealing Errors Policy

Order Execution Policy

Valuation Policy

Risk Management Policy

Remuneration Policy

Research Policy

Product Governance Policy

Algorithmic Trading Policy

Data Security, Cybersecurity and GDPR Policies

ICAAP (Internal Capital Adequacy Assessment Process) Document

SMCR Policy

Internal Reports (e.g. MLRO Report)

Financial Crime Policy and Risk Assessments

Public Disclosures


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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