Call us on 020 3813 2890 for a no obligation discussion of your regulatory requirements and how our compliance consultancy services can help
Compliance Consultancy Services © Compound Growth Limited 2012 - 2017 | Terms of Use
Registered in England and Wales as limited company number 07626537 - Registered Office 120 Pall Mall, London, SW1Y 5EA
from Compound Growth Ltd
Here to help with FCA and PRA Regulation & Compliance
Compliance Consultancy Services
We use cookies, if you consent to this use, please continue to browse our site.
Financial Services Regulation in the UK
Financial services business in the UK are subject to wide ranging regulation. The system is policed by two regulators. Most businesses are regulated by the Financial Conduct Authority (FCA). Large ‘systemically important’ banks are prudentially regulated by the Prudential Regulation Authority (PRA) which is part of the Bank of England but are regulated by the FCA for conduct of business matters.
Regulated businesses are subject to a wide range of rules as well as European directives. In addition to complying with the rules, they must keep up to date with developments and changes. Many firms will get regulatory support and assistance as required from a compliance consultancy. The consultant may offer guidance and advice on the rules relating to a particular type of business, or on coming changes to rules and regulations. Or they may simply be an additional resource available to the firm as required.
Compliance Consultancy Services Tailored to Your Business
Our compliance consultants are specialists in the financial markets, offering a good understanding of the commercial as well as the regulatory aspects of Stockbrokers, Derivatives Brokers (including Forex, CFD and Spread Betting providers), Commodity Traders, Principal Dealers, Clearers and Asset Managers.
We assist our clients in establishing, maintaining and growing their businesses in compliance with an increasingly complex financial regulatory regime and can offer the following consultancy support services:
- We can help you get FCA Authorised
- We can help with Regulatory Reporting, including COREP and other GABRIEL returns
- We can help with your ICAAP and other prudential requirements, such as CRD IV
- We can help with your Best Execution Policies and other ‘Conduct of business’ requirements
- We can help with Client Money requirements and your Client Assets Resolution Packs
- Plus general compliance support for regulatory requirements that UK firms face
“ Helping your business move forward compliantly”
Compound Growth Compliance Consultancy
Compliance Developments
Contact Our Compliance Consultants
If you are looking for a compliance consultancy to suit your business needs or are looking for regulatory answers to a question or query, please give us a call for a free, no obligation chat or send us an email and we’ll get back to you as soon as possible.
Call by Telephone:
(020) 3813 2890
New Financial Crime reporting Returns requirement takes effect
31 Dec 2016: All firms required to submit a financial crime return
SMR: Breach of Conduct Reporting REP008
31 Oct 2016: Breach of Conduct Report (including Nil Returns) due.