Compliance & Regulatory Services

A significant and demanding focus for today's wealth managers is regulatory compliance, both in adapting their businesses to new regulations and in maintaining ongoing compliance. Our Compliance & Regulatory Consulting business need is a focused resource designed to support a wealth manager's in the easy discovery, understanding and engagement of the various solutions, solution providers and relevant knowledge resources in this area.

  • Total Solutions166
  • Solution Providers83
  • Knowledge Resources22
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Featured Solutions

Grand Duchy of Luxembourg, Luxembourg

Family Office Services

The needs of UHNW clients are increasingly sophisticated, diversified and competitive. So we have mobilised a powerful combination of global experience, local expertise, in-depth understanding and cutting-edge technology to surpass expectations and advance the efficacy of family office support services.  Whether you represent a single family office, multi-family office or are......

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Omaha, NE, United States

2018 Form ADV Annual Amendment

After receiving the online payment for this service, we will send you an email requesting that you execute an electronic contract. Once we have received your executed agreement along with your online payment, we will email you instructions on how to provide RIA Compliance Consultants with user access to your......

New York, NY, United States

ACA Aponix

We provide cybersecurity and technology risk assessments, data privacy compliance services, vendor and M&A diligence services, network testing, and advisory services for companies of all sizes. Risk Assessments and Testing We help identify your company's IT, cybersecurity, and privacy risks through risk assessments, penetration testing, and regulatory cyber exams. Data Privacy Compliance Services We......

New York, NY, United States

Acuris Risk Intelligence

Better intelligence A trusted and independent provider of data intelligence for anti-money laundering, anti-corruption and cybersecurity professionals. A powerful overview and enhanced risk management service - our unique database exceeds all expectations. Acuris Risk Intelligence combines human intelligence and code to pinpoint any risks associated with forming new business relationships. We provide accurate......

Boca Raton, FL, United States

Advertising Content and Compliance

By working with RIA advertising compliance consultants, you can make sure your advertisements follow the guidelines to be compliant with the SEC rules. We find that many clients, especially new advisers, don’t know where to begin and what disclosures are necessary. For that reason, we offer assistance in creating content......

Geneva, Switzerland

Advice

Its customers include financial intermediaries of all sizes, ranging from individual firms to conglomerates with more than 80’000 employees. BRP also assists its clients’ in procedures with FINMA regarding authorisations and with foreign authorities in order to obtain cross-border licenses, exemptions or authorisations for the creation of entities. Managing situations of non-compliance......

London, United Kingdom

Advice and Support

We are on hand to answer tricky problems. At the moment, we’re advising over 300 firms from wealth managers to crowd funders and consumer credit firms to fund managers. Whether you need tailored training, more compliance resource or just another pair of eyes to check new regulations, we can help. Does a particular rule......

Geneva, Switzerland

Advisory Services

On the one hand, the activity of wealth management and trading were built by amalgamating old methods of diversification and modern knowledge of management. On the other hand, the investment process has developed rapidly thanks to the information revolution and the rise of ever more abundant regulation and legislation. Based......

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London, United Kingdom

AIFM & ManCo

Simultaneously, investors are pressuring managers for reduced fees, improved returns and enhanced operational infrastructure and transparency. MJ Hudson offers this infrastructure so that our clients can focus on generating returns. Asset managers require increasingly more support and advice on governance and regulatory matters as the trend of regulatory complexity continues. Regulatory......

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Zurich, Switzerland

AML/KYC/CID

The demands on financial services providers in relation to client identification are becoming increasingly complex. In some cases, there are even concurrent international and local rules and regulations to observe. Responding accurately to all the regulatory requirements in conventional and new, digital account opening and management processes presents financial services......

Omaha, NE, United States

Annual Compliance Program Subscription

Once your investment advisor firm is registered with the applicable securities regulator and has written its code of ethics and supervisory procedures, it’s critical that your registered investment advisor implement a compliance program followed by regularly assessing its effectiveness and taking any necessary corrective actions. If your investment advisor firm would......

Marshfield, MA, United States

Annual Registration Service

With our Annual Registration Service, our experienced professionals will review your RIA’s registration to ensure that your firm and all of its advisory persons maintain proper registration with the securities regulators. The U.S. Securities and Exchange Commission ("SEC") and the North American Securities Administrators Association ("NASAA") have reported that inconsistencies and disclosures issues......

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London, United Kingdom

App based compliance training

You may satisfy your app based compliance training requirements by taking our online training. Users are able to sit the training as and when they want, allowing for minimal business disruption, and maximum efficiency....

Darlington, United Kingdom

Apricity

Whatever your existing compliance solution, we can help you take it to the next level. Another way in which we think we’re a bit different is our transparency over fees. Coupled with our aim to help you embed compliance, and then step back to allow you to take ownership, this......

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New York, NY, United States

Ascendant Consulting

Investment advisers We provide a suite of services and solutions designed to help you meet your compliance obligations, through a team that includes former chief compliance officers, SEC regulators, lawyers, MBAs and members with many years of operational experience. We understand life from both sides of the desk. SEC enforcement proceedings consultant Pursuant......

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Sussex, United Kingdom

Assist

Speed up your implementation, no need for recruitment or training and remove delays from your processing. Our analysts are available to work alongside your business either on a temporary or ongoing basis. Once your screening solution is up and running the first challenge comes with the initial screening of your data.......

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Austin, TX, United States
London, United Kingdom

Authorisation

The Newgate team has an unblemished success record in obtaining authorisation for over 200 wholesale clients. The team have combined knowledge of over 15 years’ experience of working within the authorisation department at the regulator where they have led teams of case officers, formulated authorisation policy and implemented new regulatory......

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London, United Kingdom

Authorisation and Applications

FCA authorisation is getting more and more complicated. Financial services firms must show they have the systems and controls needed to manage regulatory risk. As well as forms, applicants have to provide documentation – for example regulatory business plans and detailed capital projections. The FCA may also want to speak to......

Glasgow, United Kingdom

Bespoke Compliance

Introductory & consultation visit As part of your introductory & consultation visit, we work together to fully understand your needs and how our support can ease the regulatory burden upon your firm. We will identify areas of priority, or any areas of concern, upon which you would like us to focus our......

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New York, NY, United States

Blackpeak

Blackpeak is an international investigative research and risk advisory firm. We specialize in investigative due diligence, business intelligence research, political risk analysis, screening, and investigations and security. Diligence We are the industry leader in complex investigative due diligence – the discreet gathering and analysis of information to identify and assess undisclosed risks. Research We......

New York, NY, United States

Broker-Dealer & RIA Advisory

Exiger’s FCC professionals have particular industry expertise assisting securities businesses in market segments including: investment banking, sales and trading, registered investment advisors (hedge funds and private equity funds), private banking, retail, prime brokerage and correspondent clearing.  We provide securities industry participants with a broad range of financial crime products and......

Mercer Island, WA, United States

Business Continuity Services

Succession planning is an important part of a firm’s compliance program. Should you become incapacitated or unable to fulfill your role as an investment advisor representative, RIA Innovations can provide a seamless transition for you and your clients. A business continuity plan will be set up at the custodian level to ensure the......

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London, United Kingdom

Business Model & Strategy

Your business model and strategic plans together with your firm’s culture will largely determine whether the outcomes that your customers experience are positive or negative. The FCA views your business model as a key risk driver. The right business model and associated strategy reduces the risk of systemic customer detriment. Thus,......

Glasgow, United Kingdom

Business Support

Operations installation From providing access to the client website and setting up agencies, to helping you gain Professional Indemnity Cover and organising your compliance installation visit, the business support team make sure your move to Compliance First is as smooth as possible. Make the most of our relationship Our business support team are......

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London, United Kingdom

Complaints Handling

As a regulated firm, you must have effective and transparent procedures in place for dealing with, and documenting, complaints competently, diligently and impartially. Where you find that a customer complaint requires an offer of redress or remedial action, you must make sure it is accepted and settled promptly. You may have......

Lenexa, KS, United States

Compliance

In an ever-changing regulatory environment for RIAs, time and efficiency is of the essence. Between business continuity planning and preparing for audits, compliance issues can zap your time and take your attention away from clients. With us as your partner, it won’t. Electronic communications compliance has drastically increased in the past......

Marshfield, MA, United States

Compliance Advantage™

If you are concerned with the increasing complex burden of implementing your compliance program, AdvisorAssist professionals can help. Compliance Advantage™ is ideal for advisors that are seeking to partner with experts to take a proactive approach to managing their compliance programs. Our experienced compliance professionals partner with you to support the implementation of your compliance......

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London, United Kingdom

Compliance, Conduct & Governance

Regulatory Change Extensive in-house and product knowledge which allows Insight to analyse, assimilate and provide guidance on the interpretation and the practical implementation of regulatory changes; and Deep knowledge and understanding of how businesses operate and how regulatory changes will affect them. Compliance Risk Frameworks Experience of dealing with regulators both in the UK......

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London, United Kingdom

Compliance Effectiveness

Managing regulatory risk effectively can be complex and resource intensive. When combined with commercial drivers that are seeking to reduce operational costs, the risk to a sufficiently independent and challenging compliance function becomes pronounced. FCA enforcement action continues to demonstrate to CF10s and their executive colleagues that they can, and will,......

Marshfield, MA, United States

Compliance Essentials™

If you are seeking to stay current with increasingly complex securities laws without sacrificing your other responsibilities, AdvisorAssist professionals can help. With Compliance Essentials™, you receive cost-effective guidance, advice and tools to support your existing compliance activities. Compliance Essentials™ is ideal for advisors that wish to supplement their internal compliance activities with our resources and expertise....

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London, United Kingdom

Compliance monitoring

We regularly help clients with compliance monitoring activities such as: Reviewing your existing compliance framework to ensure its robust, up to date and relevant to your business Helping you build an effective monitoring plan from scratch Providing advice on the areas we think you should be focused on Undertaking both on-site and/or desk-based testing......

New York, NY, United States

Compliance & Regulatory Consulting

Duff & Phelps provides a comprehensive range of compliance and regulatory services to the global financial services industry and leading AML and AB&C guidance to firms across all industries. As a trusted partner for clients, we deliver on time, within budget and to the highest quality standards, always striving to exceed expectations.......

Zurich, Switzerland

Compliance & Risk Management Consulting

We assist you with the implementation of your risk management function and the completion of compliance-related tasks with a view to implementing a customised and coherent internal control system (ICS). A robust ICS is the cornerstone of your compliance and ensures that your company is fully covered in terms of......

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Austin, TX, United States

Compliance Services

Form ADV amendments Correspondence reviews Trade surveillance/error reviews Check and transaction reviews Quarterly management fee calculation reviews Etc.... ...

Mercer Island, WA, United States

Compliance Services

You will retain control over your firm and compliance program. Levels of service are available at hourly or contract. We can eliminate the time you would have spent on compliance functions, so that you have more time to talk to clients and do prospecting. Services offered New firm registration Regulatory filings ADV & amendments Annual compliance......

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London, United Kingdom

Compliance Solutions

A starting point can often be a simple health check where we can assess your needs and the key areas that you need to address. This could be part of a broad strategy as wide ranging as helping you to manage your overall compliance solution or a very specific tailored......

London, United Kingdom

Compliancy Services

Our broad range of services: Appointed representatives Regtech powered service to onboard and monitor ARs, providing better visibility and control and evidencing FCA compliance. Brexit and TPR If you are an EEA firm looking to continue doing business in the UK, we can help you to get authorised and regulated by the FCA. Consultancy We can......

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London, United Kingdom

Comply

Comply – is our ongoing retainer based service. If you have no in house expertise, we can assist you in running your in house compliance monitoring programme, providing you with periodic risk-based compliance reports focused on specific areas of the business, as well as any other ongoing advice or compliance......

London, United Kingdom

Comply-Ad Hoc

COMPLY-AdHoc – really encapsulates anything else you might want us to do, such as the Internal Capital Adequacy Assessment Process (ICAAP), a review of client files for AML purposes, or even internal investigations into possible breaches. There is so much we can do to help you and your business, so......

London, United Kingdom

Comply-Audit

Comply-Audit – is our one off Compliance audit / healthcheck service. You may want us to carry out an audit on the entirety of the business, or just on one small element. Whatever it is that you need clarity on, please ask us, and we will be able to provide......

London, United Kingdom

Comply-Lite

Comply-Lite – is our Annual retainer service, more cost effective – but only suitable for firms with low compliance requirements. For an annual fee, our consultants will visit you on-site once a year to carry out a full compliance healthcheck, delivering to you a document and evidence based report. Any......

London, United Kingdom

Conduct Risk Framework & Controls

The FCA has not specifically defined the meaning of conduct risk yet it expects you to have a robust approach to consideration, and mitigation of, conduct risks inherent in your business model and strategic plans. However, there are a large number of inter-related considerations and nuances of approaches that can......

Wilmslow, United Kingdom

Consultancy

We make it our mission to see all our clients' businesses flourish and achieve their full potential. We make this happen through our face to face financial consultancy support which centres on establishing long-lasting relationships and developing a deep understanding of your business. Our team of expert consultants become an extension of......

Schaan, Liechtenstein

Consulting

Compliance combined with digital processes and digital platforms offers unique opportunities to achieve your business goals. Our team of topic experts in digitization, compliance, client onboarding, blockchain & cryptocurrencies has a broad overview of innovations on the market and is able to bring them into your organization. Whether you are......

Zug, Switzerland

Consulting

Trestle Group was founded in 2003 with the vision to offer an alternative, more personalized approach to consulting. We have purposefully focused our scope of engagement such as to offer relevant expertise and innovative thought leadership. We believe that by assigning talented people with beyond expectation experience we put our......

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Orange, CA, United States

Consulting Services

Overall compliance program We work with several consulting firms to connect you with the right firm and provide reliable resources when needed Email archiving options We have many great options to meet your records retention requirements. Let us help you find the right solution for your firm. CRM options In a data-driven world client relation......

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London, United Kingdom

Customer Outcomes Testing

The FCA expects you to evidence that you have your customers at the heart of your business. The most simplest and cost-effective method is to establish a meaningful customer outcomes testing policy throughout your business, spanning the end-to-end customer lifecycle. All too often firms rely on customer satisfaction metrics to demonstrate......

Boca Raton, FL, United States

Customized Compliance Policies and Procedures

These RIA compliance policies and procedures are designed to protect investors and prevent violations of the securities laws, rules and regulations. By working closely with advisers and guiding them, the consultants at RIA Compliance Group help firms to establish the ground rules for investment adviser representatives and other associated persons. Below......

London, United Kingdom

Cyber Security Compliance

Cyber due diligence - cyber threat intelligence - threat and risk assessments - cyber maturity assessments - cyber security training Your cyber security and that of your partners, acquisition targets and third parties is a critical part of your regulatory environment. Businesses are increasingly understanding that cyber threats cannot be approached in......

Greenwich, CT, United States

Cybersecurity Consulting

When it comes to cybersecurity, once confidence is lost, investors will simply take their capital elsewhere. Rest easy. Our cybersecurity consulting and suite of solutions will provide you the peace of mind you need. Proactive prevention boosts investor confidence Banks and credit card companies work hard every day to protect their customers......

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Boca Raton, FL, United States

Cybersecurity Program For RIAs

Because regulators have made cybersecurity policy a high priority, investment advisers must be prepared to demonstrate what steps they have taken to fulfill their obligations in this area. Designed for use by small and mid size investment advisers, RIA Compliance Group’s Cybersecurity Readiness Program can help investment advisers get ready for......

London, United Kingdom

Data Protection

Global data protection legislation advice eg General Data Protection Regulation (GDPR) EU-US Privacy Framework; Data Protection Act 1998 (UK) Data protection compliance reviews and gap analysis Data security audits Information Commissioner’s Office (ICO) registration Data permeation maps Data privacy, analytics and forensics Data warehousing and storage architecture Virtual Data Protection Officer (vDPO) ...

New York, NY, United States

Data Protection Officer (DPO) Consultancy Services

Preparing for GDPR compliance Article 37 of the General Data Protection Regulation (GDPR) mandates the appointment of a Data Protection Officer (DPO) for all public authorities and other organisations where the core activities of the controller or the processor involve “regular and systematic monitoring of data subjects on a large scale” or......

Tigard, OR, United States

DC Benchmarking Services

Use the Right Data All of Fiduciary Benchmarks’ data is obtained directly from the source – the Recordkeepers, TPAs and Advisor/Consultants that know the plan best. The data is 90 days or less old when obtained, is reviewed for accuracy, and is comprehensive in that it includes fees, services, support and......

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London, United Kingdom

Delta Capita for Asset Management

How Delta Capita can help At Delta Capita we help you to design and implement strategies, define and operationalise target operating models and become more responsive and lean in your operations. Our asset/wealth management practitioners have proven track records and expertise in a range of areas, including but not limited to: Rationalising......

London, United Kingdom

EFI Consultancy & Advisory

Our propositions Regulatory response Regulatory concerns are keeping global businesses on their toes and increasing the costs of compliance. We understand our clients need solutions designed to stay ahead of the curve to future-proof their businesses, from a compliance and regulatory standpoint. Any number of factors can be responsible for driving change in......

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London, United Kingdom

EFI Operations

Our operational support capability provides rapidly deployable on and off-site operational capacity, to support any number of complex and regulatory operational requirements. This can be provided as a one-off remediation exercise in support of change delivery, or as part of a more strategy-based service model. Our propositions KYC (know your customer) remediation KYC requires financial services......

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London, United Kingdom

Enforcement

The FCA has sweeping enforcement powers which range from an initial letter challenging a business practice to the very serious including penal sanctions. In recent years, the FCA has been far more proactive and it is clear that this more intrusive approach is going to be stepped up. Thistle Initiatives can......

London, United Kingdom

Engage Change

By working with our clients’ compliance, business and people development needs we have found a focus on firm strategies, behaviours, structures and the client experience are crucial to compliant and sustainable success. We have therefore built a #RegTech digital compliance and business development platform Model Office (MO) to benchmark professional practice, highlight any......

London, United Kingdom

Ethics and Compliance Consulting

Company, country and industry risk assessment - corruption risk assessment and analysis - anti-money laundering consultancy - supply chain and labour welfare consulting - training: anti-bribery and corruption, anti-fraud and anti-money laundering Ethics and compliance is a boardroom issue, with regulatory enforcement strengthening worldwide in tandem with opportunities, sourcing and production. Understanding compliance challenges US......

Geneva, Switzerland

External Asset Managers

Our team of 60 professionals dedicated to EAM has offered customised solutions that have responded to our clients’ demands for 30 years.  Front-to-back banking services and products with a tailor-made approach Dedicated Lombard Odier teams made up of experienced professionals that coordinate your needs with our in-house experts G2 Pro - a cutting-edge......

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Wilmslow, United Kingdom

FCA Application Support

Providing FCA application support and FCA regulation assistance is one of our specialist areas and we are proud to have personally helped hundreds of firms gain FCA authorisation over the years. Our total commitment and bespoke approach to helping all of our clients is acknowledged across the financial services community. The moment......

London, United Kingdom

FCA Authorisation

At Thistle Initiatives our experience of managing a large number of FCA Authorisations suggests that a well thought through application leads to a much faster and generally hassle free conclusion. We can advise you on whether or not your firm needs authorisation – this is not always as clear-cut as it......

London, United Kingdom

FCA Authorisation & VOP

Having the correct authorisation is your license-to-operate. Without it, you are acting ‘outside the perimeter’ which, in the worst case scenario can lead to imprisonment. In our experience, the FCA has little patience for firms who don’t make sufficient effort to understand what permissions they need. We help you understand how......

London, United Kingdom

Finance, Risk & Compliance

Finance and risk convergence Volatility in the regulatory landscape has deeply impacted financial and risk management practices. New regulations have created new complexities, high implementation costs and an increase in risk reporting. Although subject to different schedules, these new regulations – CCAR, DFAST and others – intertwine and should be dealt......

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London, United Kingdom

Financial Crime Compliance

Financial crime systems & controls Mitigating the risk of financial crime means much more than simply fulfilling regulatory requirements. Companies with ineffective systems and controls in place to identify, monitor and manage financial crime risk may be subject to civil or criminal prosecution. Our team's approach to governance, risk management and compliance helps you......

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London, United Kingdom

Financial Crime Risk

Under its objective to ensure the integrity of the UK financial markets, the FCA requires all authorised firms to have robust governance, effective risk procedures and adequate internal control mechanisms to manage their financial crime risk. Some of these firms will also have additional obligations placed on them. Over the last two......

Cleveland, OH, United States

Financial Crimes Advisory

Services include: AML program support AML & OFAC risk assessments Independent audit Remediation support Policy & procedure review Exam preparation Vendor selection support AML monitoring Tuning & optimization Model validation Data management System implementation support Sanctions Watch list monitoring Model validation Tuning & optimization Policy & procedure Financial crimes Fraud Cyber Anti-bribery & corruption Countering terrorist financing Training BSA/AML and OFAC Customized by role Tailored to your institution Retainer services Senior consultants Regulatory matters Industry benchmarking Best practices insights...

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London, United Kingdom

Financial Crime Unit

Newgate offers support across three key areas: Developing systems and controls We help firms identify and assess the risks it faces in respect of financial crime.  We assist in the implementation of policies, controls, and procedures to mitigate and manage effectively the risks identified.   Outsourced AML assistance Many firms want to ensure protection against financial......

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Singapore, Singapore

Financial Institutions Licensing

As experts in the compliance field, our team constantly monitor regulations and policies as well as developments in business models.  At Ingenia, our team is available to you throughout the licensing process, helping you navigate the process with simplicity and precision. Our experts will prepare, review, and submit your application and......

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London, United Kingdom

Financial Services Consulting

We’ve worked with our financial services clients over many years on a broad range of activities, from strategy development through to delivery of large-scale transformational change. However, it is far from business as usual in the sector at the moment. The industry is going through a significant period of change......

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Bern, Switzerland

Finform

Finform offers standardized and digitized compliance services for banks and other financial institutions. The optimal interaction of software and services ensures efficient processes. Complex cases that cannot be processed automatically by the Finform application are handled by specialists in real time . There is no need for downstream audit processes. The......

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London, United Kingdom

First Line Assurance

A robust quality framework is an essential ‘line of defence’ against poor customer outcomes and the possibility of regulatory sanctions. Our flexible First Line Assurance solutions enable you to maintain and enhance your required quality framework, quickly and cost-effectively. How can we help? TCC’s offers 3 distinct services, available individually or combined,......

Boca Raton, FL, United States

Full Service SEC and State Registration

Furthermore, an RIA’s Form ADV disclosure brochure must be written in plain English and in language that unsophisticated investors will understand. RIA Compliance Group will work hand-in-hand with you, so that your Form ADV is spot on and captures what makes your firm different from other advisers. A carefully constructed......

Willemstad, Curacao

Fund Services

Our expert Fund Administration team consists of experienced, highly qualified professionals who deliver tailored, premium services to small and midsize investment funds. In a largely standardized industry, we offer our clients a true alternative through our personalized boutique approach. Our clients We services asset managers and increasingly works with high-net-worth individuals and family......

Dublin, Ireland

GDPR

Beginning on the 25th of May 2018, the General Data Protection Regulation (GDPR) will go into full effect. Articles 39 and 47 of GDPR require companies to raise the level of security awareness of their staff.  So in order to be compliant companies have to undertake training of their staff. We’ve worked with......

London, United Kingdom

GDPR

The EU General Data Protection Regulation (GDPR) takes effect in May 2018. The Regulation is wider in reach than the current Data Protection Act; it confers more rights on subjects and more obligations on those controlling and processing personal data. Given the potential impact on businesses of these changes, it is essential......

London, United Kingdom

GDPR Strategy

By complying with GDPR regulations, businesses can guard against risk that manifests itself in the form of lost customer confidence and sales, security breaches, fines, sanctions, and potential lawsuits. By gaining greater control of customer data based on the principles of GDPR, businesses can also gain greater insight into customer......

London, United Kingdom

General Data Protection Regulation (GDPR)

Although many firms are making good progress with the changes needed to become GDPR compliant, it is expected that in order to meet the May 2018 deadline up to two thirds of banks and wealth management firms will have to put in place workarounds with the intention of continuing to......

London, United Kingdom

Governance

In the regulated world, governance can take many forms and the regulators’ scrutiny of how firms organise themselves and organise their activities is becoming more intense. A firm’s culture has been an ongoing theme for some time; personal responsibility and accountability will be brought into sharp focus by the Senior Managers......

Washington, DC, United States

Guidehouse Financial Crime Solutions

As masters of financial crime risk, Guidehouse has all bases of the governance ecosystem covered. Whether a client needs to improve sanctions compliance, enhance transaction monitoring, or drive convergence between AML and fraud functions – we’ve helped similar companies overcome these issues. Armed with top former prosecutors, regulators, compliance officers,......

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Washington, DC, United States

Guidehouse Management Consulting - Commercial Sector

Clients partner with Guidehouse to address their most significant challenges with business process services, business transformation, innovation, improving operational efficiency and effectiveness, managing risk, enhancing customer experience, and driving competitiveness and growth. Our combination of industry, technology, and risk and compliance experience, all on one team, is unique and allows......

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Maitland, NSW, Australia

Heffron Administration

The SMSF accounting and compliance industry is constantly changing which means SMSFs are demanding more support from qualified professionals in meeting their SMSF administration needs. Heffron SMSF administration is a comprehensive service. Not only does it include an accurate, reliable compliance service but you also have access to Heffron's market......

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Manchester, United Kingdom

Helpdesk Support

Our compliance and technical helpdesks provide assistance with upward of 2,500 queries each month on all aspects of FCA regulation such as regulatory reporting, authorisation of new firms, FCA monitoring activity, complaints, financial promotions, training & competence / recruitment as well as technical advice on UK life, pensions, trusts and taxation....

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Zurich, Switzerland

Incorporation & Licensing Support

FinIA will require all asset managers and trustees to obtain a licence and thus be subject to prudential supervision (probably from January 2019). The growing complexity of the regulatory environment and the extensive requirements of the relevant authorities can make the incorporation and licensing process even more difficult. We will be......

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London, United Kingdom

Index Governance & Management

Good governance of an index or index family is vital for market acceptance. Moorgate Benchmarks works with its clients to create and document governance structures that ensure indices are free from conflicts of interest, and that calculation and review errors are minimised, without imposing dramatic changes on clients’ established procedures......

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Singapore, Singapore

Ingenia Internal Audit

Meet your Regulatory Compliance Requirements Perform annual internal control assessment as per regulatory or licensing requirements. Manage the Operational Risks of your Business Benchmark your operational process and control set up with industry peers and global best practice. Provide yourself with the most effective and practical solutions with the support of robust processes to......

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Auckland, New Zealand

Insurance

We can help you navigate through new government policy addressing perceived weaknesses in the industry’s traditional conduct and culture. Together, we’ll explore the demands of changing regulatory expectations on your operations and systems, assess the value of new technology options, and then implement the most beneficial mix of people, process......

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London, United Kingdom

Internal Audit

MAS requires licensed financial institutions to have an annual independent audit of their internal controls. For RFMCs, this is recommended if you don’t carry out other regular monitoring of your compliance with MAS requirements. We can do your Internal Audit which involves us independently checking the extent to which you meet......

London, United Kingdom

Internal Controls and Monitorships

Government-mandated monitorships - internal controls & monitoring Settlements with government enforcement and regulatory agencies can require an independent compliance monitor. Monitoring has also become an expected component of a functional compliance programme. End-to-end compliance programme review Control Risks compliance experts help with the evaluation and enhancement of your existing policies, procedures and practices......

London, United Kingdom

Investigations, Litigation Support & Asset Tracing

Investigations, litigation support & asset tracing Asset profiling Intelligence & evidence gathering Internal investigations Witness development ...

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Zurich, Switzerland

Investment Suitability

New revisions of the European MiFID and other regulations tighten the leeway of the banks regarding investment suitability even further. They need to incorporate stricter procedures in order to ensure that they only recommend suitable and appropriate products to the client, based on the client’s risk profile, financial and personal......

London, United Kingdom

kompli-forensik

Providing a bespoke research and specialist investigation to deliver a highly detailed, enhanced due diligence report with specific focus on client’s requirements and direction. The scope of report to be subject to project discovery discussions and agreed criteria. kompli-forensik™ could include video interview of the target subject in native language if......

London, United Kingdom

kompli-insight

This is particularly relevant if the target subject is overseas. Results can be referred back to a Kompli-Global’s in-country expert for further analysis and translated from local language by a native language specialist investigator within the local region. Only local language translation provides accurate interpretation of dialect, semantics and urban slang....

London, United Kingdom

kompli-IQverify

Once case results are obtained using kompli-IQ™, clients may determine that additional human analysis is required for specific confirmation or verification of the returned records. The verification/confirmation is conducted by our highly trained in-country specialists and translated from local language by a native language specialist within the local region. Only local language......

New York, NY, United States

Kroll Compliance Risk and Diligence

Complying with anti-money laundering and anti-bribery and corruption regulations. Through a combination of in-depth subject matter expertise, global research capabilities, and flexible technology tools Kroll can help clients: Design, set-up, and implement compliance programs and policies, taking into consideration the complex and unique laws across the world Establish an overarching compliance strategy and......

Lee's Summit, MO, United States

LSA Portfolio Analytics

Research and analytics Gain immediate access to performance and monitoring reports for every product you’re interested in. Portfolio modeling Actively update your aum with our comprehensive portfolio models using the trading platform and product offerings of your choice. Industry insights Access exclusive videos, blog posts and more from industry influencers and innovators. Repeatable process Big meeting on......

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Cleveland, OH, United States

Managed Services for AML Transaction Monitoring

Our team performs research, analysis, and investigations and delivers the required documentation for these investigations. Extensive quality control is performed on each work product before it’s returned to the client. Provide the best AML/BSA analyst team possible We distinguish ourselves from the competition by giving each of our team members specialized training......

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Chicago, IL, United States

Manager Selection Services

Extend your reach with our analysts We’re invested in the success of investors. You can depend on our research to support your clients’ investing needs. Extend your research and investment selection potential by adding insights from our global manager selection team. Build on our rigorous approach to manager selection Don’t take on the......

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Englewood, NJ, United States

MarketCounsel RIA Institute

Since its inception, MarketCounsel’s RIA Institute has established itself as the leading platform to help hundreds of the country’s preeminent investment advisors effectively deal with their most complex business challenges so they can go on to achieve great things. The Institute brings the best of MarketCounsel’s thought leadership and innovative......

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London, United Kingdom

MAS licensing

MAS licensing is getting more and more complicated.  Financial institutions must show that they have the systems and controls needed to manage their regulatory risk.  As well as completing the forms, applicants have to provide documentation, including a business plan and financial projections – and  MAS may ask to see......

London, United Kingdom

MiFID II

In April 2014, the European Union approved MiFID II, an updated version of the original Markets in Financial Instruments Directive (MiFID), implemented in 2007. MiFID II is set to take effect on 3rd January 2018, so firms don’t have long to get up to speed with this new regulatory regime. MiFID......

Zurich, Switzerland

MIFID II Assessment

We support you to set a course for the future at an early stage, in order to tackle the challenges ahead in a self-confident and targeted manner. The assessment phase consists of two steps: a “Self Assessment” and an “Evaluation Meeting with the EAM”. Of course, we are also happy......

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Zurich, Switzerland

MiFID/MiFIR/FIDLEG

Implementation of MiFID II and FIDLEG/FFSA and other provisions on financial market regulation and client protection in connection with financial transactions will bring renewed major changes to service provision and significantly influence compliance organization and the corresponding processes and controls. In the wake of the financial crisis, a European initiative led......

London, United Kingdom

Mock FCA Visit/Interviews

f you are selected as part of thematic work, are on notice for a supervision visit or are applying to be a Significant Influence Function (SIF) you are likely to be involved in an FCA on-site assessment or interview. Understanding the FCA’s expectations and how to manage the responses can be......

Boca Raton, FL, United States

Mock SEC and State Examinations

In many instances, firms will only have a few days to prepare for an in-depth examination. RIAs may be required to supply hundreds of documents with short notice. With so much at stake, RIAs need not go it alone. RIA Compliance Group can assist you in preparing for the most difficult exam.......

Willemstad, Curacao

Multi-Family Office Services

If you are an individual or a family with accumulated wealth that includes assets spread around the globe, you need a solid, legal ownership structure to safeguard that wealth. Trustmoore provides legal infrastructure where needed, with the necessary expertise and staff to keep your wealth safe and in good shape. Because......

Manchester, United Kingdom

Obtaining FCA Authorisation

Applying for direct authorisation The FCA need to ensure that your firm has the skills, resources and expertise to manage the risks associated with running your own directly authorised business. threesixty have helped hundreds of firms gain authorisation from the FCA and can provide you with all the assistance you are likely......

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Boca Raton, FL, United States

Ongoing Compliance Assistance Program

Each consulting package provides consulting hours that you can use for any investment advisory compliance issue that arises. No matter what questions or problems you encounter, you can call upon an RIA Compliance Group consultant for guidance and recommendations. We show you how to utilize your consulting hours most effectively. We......

London, United Kingdom

Ongoing Consulting

Using web-based and face to face consulting, we will provide compliance monitoring support that covers training and instruction in the compliance framework and your regulatory obligations; management of regulatory developments and changes and their impact on your firm. Regular on-site visits by our experienced consultants provides clients with regular advice......

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Chicago, IL, United States

Organization models and governance

Ongoing volatility has highlighted the importance of governance models, the consequences of deceptive incentive schemes, and the inadequacy of risk management practices across the financial institutions industry. The problems that have been exposed have occurred throughout organizations, both in terms of overall strategy (such as major portfolio and risk decisions)......

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Zurich, Switzerland

Outsourcing & Body Lending

In our experience, asset managers rarely require a full-time compliance function – which makes outsourcing the wise choice. Outsourcing the compliance function can also be an advantage for certain banks. Our temporary consultant (body lending) offer is also the ideal alternative to outsourcing in the event of a temporary staff shortage......

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London, United Kingdom

Past Business Reviews

Whether your PBR is in response to your own ongoing compliance quality monitoring or FCA investigatory work you need an experienced partner that can help you act efficiently and effectively. With TCC, you not only benefit from a responsive, value-driven approach, our specialism is in conduct risk. This means you can......

London, United Kingdom

Preventing financial crime

Legislators and policy makers have responded to successive market failures and the sophistication of organised crime by an increase in the number and complexity of offences and regulations that apply to financial crime in its widest sense. The challenge for all firms is how to move beyond using their internal controls......

London, United Kingdom

Prudential Services

The FCA’s reporting regime is becoming ever more complex with new reporting requirements, and new systems through which to report. We have been helping clients fulfil their reporting obligations for years and have the skills and software to make reporting as painless as possible. At a simple level, we can help......

London, United Kingdom

PSD2

The revised Payment Services Directive (PSD2) is required to be implemented in the UK by 13 January 2018. The Treasury has transposed PSD2 into UK legislation in the Payment Services Regulations 2017 (PSRs 2017). The FCA will continue as the competent authority responsible for authorising and supervising payment service providers......

London, United Kingdom

Redress & Remediation

Our redress and remediation services are undertaken when an unsuitable case is discovered as a result of a Past Business Review, through Line 1 Assurance or an upheld complaint. We provide end-to-end solutions, individual components of a remediation programme and bespoke redress calculations. Our solutions are flexible, regardless of the size......

Austin, TX, United States

Registration Services

Initial setup of the FINRA IARD/CRD account Preparation, organization, and submittal of the various supplement documentation needed Creation of the Form ADV Part 2A and Part 2B disclosure brochures On-going consultations and communications with regulators during the registration application process CCO compliance training after your RIA is approved Etc... ...

New York, NY, United States

Reg Report

The Regulatory Risk Report is published twice each month delivered straight to your inbox. A must-have reference to the latest regulatory changes; the report summarizes important developments affecting the global financial services industry that have occurred in the past two weeks. Each report has more than 50 articles summarizing regulatory events, and more than......

Bath, United Kingdom

Regulation

It means we can help clients work out not just how to approach the immediate challenge of new legislation but how it fits in the broader portfolio – enabling them to optimise their change spend and avoid reinventing wheels. There’s no such thing as a “typical” assignment but here are some......

Zurich, Switzerland

Regulatory and Compliance

We advise on legal questions affecting banks, securities firms, insurance companies, collective investment schemes (including fund managers and asset managers), Fintech institutes, other financial intermediaries and regulatory authorities. Our legal expertise covers the following areas: Anti-money laundering legislation (AMLA) Financial Services Act (FinSA) Financial Institutions Act (FinIA) Public and private banking law Financial Market Infrastructure......

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London, United Kingdom

Regulatory Assurance

In an ever-changing regulatory environment and in light of the move towards personal accountability for those holding Significant Influence Functions (SIFs), you need to ensure you comply with current regulation and are prepared for the future. How can we help? We support the development of effective internal standards and controls by delivering......

Dublin, Ireland

Regulatory Change

Issue Wealth management businesses are facing increased regulation and security pressures. There is also greater focus on transparency, investor protection and cross-border standards. In addition, they are also facing pressures from higher client expectations, competitive pricing and breadth of service offerings from new market entrants. Wealth managers will be pushed to find a......

London, United Kingdom

Regulatory Change

In UK financial services regulation, the only constant over the past three decades has been change. The industry has faced significant disruption including regulatory body changes, the Retail Distribution Review (RDR), Mortgage Market Review (MMR) and, most recently, the Senior Managers and Certification Regime. Now, with the focus on MiFID, PRIPs,......

London, United Kingdom

Regulatory Compliance

Conduct Risk Solvency II Know Your Customer (KYC) Anti-Money Laundering (AML) Bribery Act & Foreign Corrupt Practices Act MiFID Treating Customers Fairly Sarbanes-Oxley and Dodd-Frank compliance PRA and FCA authorisations and compliance Client Money / Assets Reviews Sanctions, PEPs and adverse media Charities Commission ...

London, United Kingdom

Regulatory Driven Change

Our knowledge and foresight ensure that a client is compliant but also benefits from strategic planning. Change implementation Impact and opportunities analysis Operating model design Regulatory advice for the buy and sell-side including SFTR and CSDR Regulatory assurance Regulatory driven change Regulatory reporting ...

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London, United Kingdom

Regulatory Due Diligence

When looking to acquire a new business regulated by the FCA it is important that you carry out regulatory due diligence to fully understand the business’s history and quantify the potential historical risks attached to the acquisition. Failure to undertake appropriate due diligence can have far reaching consequences. Purchasing a business......

London, United Kingdom

Regulatory Hosting Services

Provide solutions to regulatory needs With our regulatory umbrella we provide the relevant permissions to enable you to provide financial services to all clients across Europe. We fulfil your compliance obligations and take charge of your regulatory processes, including regulatory reporting. RiskSave Compliance will provide the necessary infrastructure that matches the......

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Wilmslow, United Kingdom

Regulatory Policy

In a world of fast-changing regulation, keeping up to date and on top of the latest rules, regulations and requirements can sometimes be one plate too many to keep spinning. This is where our Regulatory Policy team have got your back. Our regulatory radar monitors the whole industry, detecting change and providing......

Tysons, VA, United States

Regulatory Response

Regulatory compliance costs in financial services are at an all-time high. One bank alone paid $20 billion in 2013 to resolve compliance issues and avoid lawsuits, according to multiple news outlets. Factoring in fines and lawsuits, Morgan Stanley analysts say that compliance since 2009 has cost the top banks in......

Auckland, New Zealand

Regulatory Response

Mosaic has a deep understanding of financial services regulation and the strategy-first process of developing interpretative frameworks to derive policy, process and functional implementation plans....

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London, United Kingdom

Regulatory Solutions

We have seven main business lines which revolve around two core objectives: Business friendly: We are here to help you navigate regulatory complexity and help you do business quickly and efficiently Risk management: We seek to reduce your financial and reputational risks through providing robust but pragmatic advice and guidance We serve the......

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London, United Kingdom

Regulatory Training

Our training courses are delivered at your offices to minimise disruption with the subject and length of each training session determined by the firm’s requirements. Courses typically centre on subjects such as: compliance induction; approved person responsibilities; anti-bribery; anti-money laundering; market abuse; financial promotions; and all other regulatory subjects on request. For more information on on regulatory training services......

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London, United Kingdom

Regulatory Umbrella

Hosted regulatory platform Our clients often need to be able to undertake regulated activity quicker than the length of time it takes to obtain authorisation from the FCA.  Subject to completion of the due diligence process, our clients can begin to market and provide investment advice as an Appointed Representative of our......

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London, United Kingdom

Resourcing

As well as the health checks, consultancy and advisory work that Thistle Initiatives undertakes on behalf of clients, in the world of compliance a matter can arise unexpectedly, needing urgent attention. These issues maybe outside the business plan or beyond the experience of an in-house compliance team, this is where......

London, United Kingdom

Reviews and Projects

We have the project management skills you would expect from larger consulting firms, but we bring a deeper technical understanding of regulation. And we like to think we’re friendlier. We are on the FCA’s skilled person panel for S166 reviews, but have found that clients have come back to us in......

Marshfield, MA, United States

RIA Registration Advantage™

The RIA Registration Advantage™ service provides you with expert assistance to get your new RIA firm up and running as quickly as possible, while covering all aspects of the RIA start-up process. RIA Registration Advantage™ includes all services in the RIA Registration Essentials service (SEC or State registration, design of your compliance program, design......

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Marshfield, MA, United States

RIA Registration Essentials™

Our RIA Registration Essentials™ service provides you with expert assistance to get your new RIA firm up and running as quickly as possible. RIA Registration Essentials™ is a comprehensive, turn-key solution that covers the core aspects of starting your RIA firm, including: SEC or state registration, compliance program design, client agreements, custodian selection, technology support, and......

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Menlo Park, CA, United States

Risk and Compliance

Heightened standards and significant investments have increased the size and scope of responsibilities for risk and compliance functions. Expansion often is a fertile ground for inefficiencies to risk and there is ample room for effectiveness across all three lines of defense while stabilizing or lowering costs. Often overlooked as success......

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Geneva, Switzerland

Risk & Compliance Advisory

Since 2012 we have been trusted advisors and partners to premier Swiss and European financial institutions, including a couple of dozen banks from the Top 50. We help our clients to better navigate the complex risk & regulation landscape with a particular focus on private banking, M & A, trade......

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Singapore, Singapore

Risk Management and Compliance

Product and portfolio risk management Major market fluctuations, crisis, and black swan events have highlighted the importance of effective risk management processes within the banking sector. Tightening regulatory requirements have pushed financial institutions to make managing counterparty and product risks a priority. Regulations are also increasingly focusing on client portfolio risk management......

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New York, NY, United States

Risk Management & Regulation

Working closely with our Finance & Risk Management Practice we support our clients on a broad array of risk-, compliance- and regulated related considerations. We advise our clients in defining their risk appetite, developing processes, and policies and establishing the required infrastructure....

London, United Kingdom

RoboAdvice

Automated financial solutions such as RoboAdvice are expected to become the standard for the younger digitally savvy investors. In particular, they are able to offer investment solutions with typically lower cost fees and lower account minimums enabling consumers easier and quicker access to the investment industry. RoboAdvice is the use by......

London, United Kingdom

Section 166 Skilled Persons Reviews

We have helped a number of firm demystify the s.166 process and navigate the process to appropriate outcomes. We pride ourselves on our ability to be proportionate and pragmatic in our review work. We can conduct s.166 review across a broader range of conduct and related culture and governance issues. Our......

Marshfield, MA, United States

SEC to State Transition

Need assistance moving to or from SEC registration? Our experienced team has registered hundreds of firms with the U.S. Securities and Exchange Commission (“SEC”) and every one of the State Securities Regulators. We can assist with all aspects of the transition from filings to the redesign of your compliance program to......

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New York, NY, United States

Security Risk Management

We use a holistic approach that addresses all aspects of your security and operational risks for the most robust protection. Our diverse skill-sets and global resources enable our experts to manage projects from inception to completion. From securing counterfeit goods along the supply chain to running drills to protect executives......

San Diego, CA, United States

Seismic LiveSocial

Personalized content Create a personalized, live feed of marketing curated and 3rd party content for sellers. Control for risk Leverage best-in-class compliance and risk tools to ensure only compliant content is shared. Activate sellers on social Enable sellers to post content that aligns to their interests & target markets. Grow revenue Drive revenue and measure effectiveness of......

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London, United Kingdom

Senior Managers Regime

The Parliamentary Committee on Banking Standards (PCBS) was appointed to consider and report on professional standards and the culture of the UK banking sector. In its June 2013 report, entitled ‘Changing banking for good’, the PCBS criticised the Approved Persons regime stating that “a lack of personal responsibility has been......

London, United Kingdom

Skilled Person Reviews (s166)

Firms issued with a s166 Requirement Notice need to select one of the available providers from the published panel to carry out the Skilled Persons review. As from 1 April 2017, Bovill was appointed to the Skilled Person Panel in the following areas: Client assets Governance and individual accountability Conduct of business Financial crime Prudential (credit, market,......

Sydney, NSW, Australia

SMSF Administration

Our service includes: Daily online reporting Financial statements pack Lodgement of the annual tax return Trustee minutes and member statements Independent SMSF audit Actuarial certificate (if required) Management with ASIC and ATO Corporate trustee maintenance Provision of activity statements (PAYG, IAS & BAS) Datafeed implementation and monitoring Quality assurance review paper Firm labelled interface for the SMSF client access Mail house services ...

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London, United Kingdom

Specialist Resourcing

With almost two decades’ experience in compliance and regulation, and a pool of 5000+ talented Associates, we have the knowledge and breadth of experience to provide first-rate compliance SME’s wherever and whenever you need them. As risk and regulation experts first and foremost, you can rest assured that we can identify......

London, United Kingdom

SteelEye

SteelEye is built on the latest and greatest technologies. Scalable up to petabytes your dedicated environment is capable of storing and searching billions of records. Accessible via web interface we offer record keeping, trade reconstruction, transaction reporting and best execution as standard....

Willemstad, Curacao

Structured Finance & Capital Markets Services

Due to ongoing consolidation in the corporate services sector, parties active in structured and asset finance have an increasingly limited choice of specialized service providers. To fill this void, we launched Trustmoore Structured Finance & Capital Markets in 2014, based in Amsterdam, Luxembourg and Ireland — supported by Trustmoore’s international......

Geneva, Switzerland

Swiss Tax Reporting

The Swiss Federal Tax Office (SFTO) provides the income tax liability figure by share class for each tax year. If the funds are registered with FINMA, the SFTO requests the legal representative in Switzerland to provide these figures. CFS undertakes the calculations in-house. If the funds are only distributed to......

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Paris, France

Tax & Regulatory

We help our clients navigate the new regulatory environment and master the implementation of new regulation. Our deep expertise in this area ensures we deliver results that not only reflect an accurate interpretation of the regulatory framework but also pre-empt the impact these have on the operational organization of the bank. We......

London, United Kingdom

Technology Regulatory Reviews

As technology continues to develop, with this the regulatory environment evolves to meet the changing risks. For example, the new European Data Protection Regulations comes into force soon, with changes in the scope of the data protected and significant increases in the sanctions available to the regulator. As regulations change, how......

Leeds, United Kingdom

TenetSelect

At TenetSelect we provide an extensive range of compliance services which are designed to keep you abreast of regulatory developments and provide clear guidance and quality solutions to help you meet the FCA's requirements. We also provide a wide range of other services which are designed to add value to......

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London, United Kingdom

TGP Verified

Each TGP Verified engagement is: Focused solely on client priorities Practitioner centric bringing proven experience Personally managed and overseen by a TGP partner, and Leverages our proprietary SME database TGP Verified covers all aspects of the client engagement lifecycle: Governance Demand management Deployment Execution, and Handover TGP Verified – the TGP delivery model TGP Verified, our TGP delivery model enables us to effectively meet your......

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Zurich, Switzerland

Training

We support you with further education and training options, from individual training sessions to comprehensive further education concepts. Thanks to our extensive team of experts, we can cover a wide range of national and international regulatory topics and work with you to develop customised solutions....

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London, United Kingdom

Training

Regulatory Reporting Training Workshops. Our CPD-accredited courses are endorsed by the CISI and led by senior regulatory reporting specialists. Training in MiFIR Transaction Reporting, EMIR Trade Reporting and SFTR Reporting....

Geneva, Switzerland

Training

BRP offers training in all regulatory fields. BRP training include the following features: Tailor-made approach: BRP adapts the training content to the reality of its clients. Interactive courses: clients are always asked to participate in practical exercises. Pragmatic approach: the course is based on concrete cases and is designed so that the client can immediately draw practical lessons. All BPR......

London, United Kingdom

TR Audit

Control Now consultants can provide a bespoke service to; Document your reporting requirements, specific to your the business. Perform a systems/data review and documenting an audit of where it comes from and where it goes. Complete compliance testing specific to the business executed and the systems used. Create bespoke validation for ongoing compliance.  ...

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Omaha, NE, United States

Turn-Key Investment Advisor Registration Service

Even those that have a compliance background and may have worked with an investment advisor in the past can find the investment advisor registration process to be extremely time-consuming and tedious. Let us answer your questions about how to become a registered investment advisor and guide you through the investment......

London, United Kingdom

Varramore - Regulatory & Compliance Advice

We help our clients to ensure that they are adhering to all relevant FCA regulatory requirements on a continuous basis and in a commercially viable manner by providing a range of pragmatic advisory, support, oversight and project services to FCA regulated investment firms including, but not limited to, the following: Regulatory and......

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Sussex, United Kingdom

WatchlistAssist

Speak to us about our potential match review service. Our analysts will provide an additional level of filtering, with clients seeing up to a 95% resolution of potential matches....

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Knowledge Resources

Keep up-to-date with the most dedicated resource for wealth managers which includes relevant news, developments and industry trends.