Compliance

We are your virtual compliance team. Our banking, finance and legal skills means we apply a commercial approach implementing regulations.

TESTING

We review and test you are complying with IFPR, SMCR, AIFMD, CRR and CRD IV, MAR, MiFIDPRU.

STAFF TRAINING

We provide SMCR compliant staff seminars and training on financial regulations using out online portal.

ICARA

We provide support in drafting your annual ICARA required for MiFIDPRU.

Compliance Monitoring & On-call Support Service

We provide face to face, virtual meetings, email and on-call support to your compliance officer.

We run a bi-monthly or quarterly compliance monitoring programme where we review your compliance processes against your business activities, order and transaction sample testing and discuss any issues you wish to raise.

FEES

We charge a monthly or quarterly fee. Compliance services include:

Compliance monitoring programme
On-site visits
Emails and calls on issues within the month and general queries