02 Nov FMConsult
An independent compliance and operational risk consultancy. Providing advice on: corporate authorisations - acquisitions and other changes in control, - variations of permission - passporting, fund structuring and domicile - fund establishment and documentation - compliance monitoring programmed advice and audit - training and competence - training requirement surveys - training programme development and delivery - ongoing compliance advice - risk management systems advice, risk reviews - ICAAP review and development - SYSC documentation oversight process. governance reviews - pre-FCA visit reviews and SIF training. Support with Gabriel and ONA as appointed users.
Services Offered
- Authorisation
- Bespoke Processes/Procedures
- Client Assets
- Complaints Handling/Reviews
- Compliance Auditing/Due Diligence
- Compliance Support
- Compliance Training
- Contract Services/Interim Locum Support
- Data Security/Protection
- Documentation
- Financial Crime /AML
- Governance
- Regulatory Returns
- Regulatory Updates
- Risk Assessment /Management
- Skilled Persons Review Support
- Training
Firms Served
- Claims Management Companies
- Consumer Credit/P2P
- Crypto/AML
- Discretionary Fund Managers
- IFAs
- Investment Managers
- Investment Product Providers
- Restricted Financial Advisers