We have an experienced team who understand compliance regulations and legislation in multiple jurisdictions. Our services include:
- Assistance with the production of key materials such as compliance manuals
- Business plan creation and submission for entities wishing to become regulated
- Generation of reports for submission to regulators such as the Financial Conduct Authority (FCA), Central Bank of Ireland (CBI) or Guernsey Financial Services Commission (GFSC)
- Coordination and point of contact for all regulatory queries
- Monitoring of emerging risks to clients’ businesses whilst ensuring ongoing compliance obligations are met
- Performance of anti-money laundering (“AML”) checks and maintenance of conflicts registers, including personal account dealing authorisation and record keeping
- Assistance with know your customer (“KYC”) procedures including thorough due diligence and checking
- Assistance with general contract preparation and review
- Provision of advice on effective wording of insurance in contracts and other documentation
- Verification of compliance of insurance certificates and other documentation to ensure adequate coverage and endorsements, as well as insurance company solvency and other requirements
- Provision of regular reporting to identify non-compliance and other potential problems
- Continuous access to all business compliance records through a secure online data room