
11 Oct FMConsult
About
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 - FCA
- Complaints Handling
- Compliance Training
- Contracting / Interim
- Due Diligence
- Enforcement Action - AML and Payment Services
- File Reviews and/or Monitoring
- Health Checks
- Information Security / Data Protection
- EU / International Compliance
- Regulatory Capital / Solvency
- Regulatory Updates
Firms Served
- Claims Management Companies
- Collective Investments Funds
- Consumer Credit Providers
- Corporate Finance Firms
- Crypto (Capital Markets)
- Custodians/Depositaries
- Discretionary Fund Managers
- Electronic Money Issuers
- Financial Advisors
- Institutional Investment Management
- Private Client Investment Management
- Retail Investment Management