Our services cover the full compliance cycle from advising on and managing applications for FCA authorisation through to providing ongoing compliance monitoring and support. Typically, this will involve an assessment of your firm’s systems and controls, your compliance governance arrangements and assisting with compliance reporting and preparation for regulatory visits and reviews.
Other compliance services available include preparing and maintaining all of your compliance documentation, such as compliance manuals, procedures and monitoring programmes; assisting with or managing other major projects such as permission variations and changes of control; and the preparation of your Internal Capital Adequacy Assessment Process (‘ICAAP’).
As we come from asset management backgrounds ourselves, we have a very good understanding of the regulatory, technical and commercial issues facing your firm. We understand the challenges faced by boutique investment or hedge fund management firms where the principals often have direct responsibility for compliance oversight in addition to other roles.
