What We Do

Compliance outsourcing:

  • Compliance monitoring
  • Identifying applicable new regulation
  • Making cost-effective arrangements to achieve compliance

 

Compliance Projects:

  • Basel / CRD
  • Liquidity
  • ICAAP / ILAAP Drafting
  • Client Classification
  • Suitability / Appropriateness
  • Order Execution Policy
  • MiFID
  • Treating Customers Fairly
  • Solvency 2 incl: ORSA and Pillar 3
  • AML (incl. ATF and anti-fraud)
  • Risk Policies / Risk Registers
  • Risk and Compliance Training

FCA / PRA visit preparation:

  • Preparation of necessary documents
  • Ensuring compliance
  • Briefing senior management
  • Simulated  interviews