Corporate Authorization :
We have assisted a number of new companies and new entrants to the UK i... in achieving FSA authorization ranging from small partnerships to large international firms. Our practice is to provide as little or as much assistance as you need in order to help keep costs under your control. We can provide all documentation required and will project manage production and passage of the application through to authorization.
Operational Risk Management :
Here is value to be added by an effective risk management process and b... by having efficient risk monitoring resources. A risk monitoring process, if well thought-out and executed, will help line management operate their business processes with added efficienc
Skilled Persons Report :
We can provide practical and cost effective skilled persons reports tha... at will meet the requirements of the FSA’s Section 166 orders and give the firm a real solution to the problem.
CIS Company Secretarial :
We are an independent provider of company secretarial services for Coll... lective Investment Schemes. We currently provide services to Irish and Luxembourg schemes and are happy to extend these services to other jurisdictions. We also offer disclosure advice to firms in the UK in respect to Take-Over Panel and Companies Act requirements.
Regulatory Training :
We provide bespoke training for routine requirements such as new starte... er induction, Anti Money -Laundering, SIF or NED preparation as well as specialized training such as pre-ARROW interviews.
- Monthly newsletters
- Helpdesk cover for ongoing support
- Quarterly monitoring inputs
In addition we have experienced resources ready to help you with any adhoc queries that you may have, without the need to pay a retainer. Just ask and we will assist, ensuring that your query is dealt with quickly, and efficiently by our experts. As we are independent we face few conflicts of interest, and can therefore offer impartial advice, backed by years of industry regulatory experience. We can provide solutions that are practical and proportionate; assisting you where required producing and in implementing the solutions effectively.
Compliance Outsourcing And Interim Resources :
We can provide the level of support required when you need it most.
We recognize that proportionate and practical support are vital to ensuring that your business meets its regulatory obligations in a manner that is consistent with the firms objectives.
Forensic Compliance And Internal Monitoring :
Monitoring activities need to provide comprehensive coverage of the
bus... siness and regulatory risks that a
firm is exposed to in a proportionate manner. The risk of
over-monitoring is just as real as that of under-monitoring;
the result of the former is inefficiency and expense, the
result of the latter could be failure of the business. We
help management teams build a comprehensive risk-based
monitoring programme to suit their business needs.
Our forensic compliance skills can help in instances of fraud, misconduct and breaches, as well as in preventing or resolving commercial disputes.
CIS Development And Authorisation :
We offer a comprehensive service to assist new and established investme... ent managers and hedge funds. It is essential those asset managers are working with the right partners and that the fund manager and the fund are compliant with the increasing number of new regulations and best practices
Independent Oversight And Montoring Of CIS :
We offer services in relation to the Corporate Governance of Funds, of ... partnerships; and of corporate entities. We evaluate whether clients operate in accordance with the relevant regulatory codes, identify areas of weakness and can provide solutions where required. We are able to assist clients design and implement relevant practical frameworks that are proportionate to the risk posed.
Financial Promotion Approval :
- E marketing
- Literature mailing