Additional Regulatory Compliance Services


INSIGHT
Published
Jun 3rd '24
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Additional Services

Just send us an email with the title as the subject line to see how we can help.

 

Training

We offer a range of training via Zoom, or Teams as well as certified courses.

 

We can supply PDFs of;

 

Recommended

  • “Conflicts of Interest” PDF explained for financial services businesses. A 147 slide PDF explaining what conflicts of interest are, and how to manage them effectively. £230
  • Introduction to FCA Regulation PDF. £85
  • FCA Code of Conduct (COCON) PDF. £135
  • AML & CTF plus Financial Crime PDF. £85
  • Digital Client Onboarding Training PDF. £85

 

If at least three of the above are ordered, we also provide “Discounted Training PDFs” on:

 

  • Anti-Bribery & Corruption £45 (normally £90)
  • Complaints Handling £85 (normally £150)
  • Conduct Risk £35 (normally £75)
  • Responsibilities of the MLRO £100 (normally £230) and,
  • the Senior Managers & Certification Regime explained £55 (normally £90)

 

Face to face training

We can provide bespoke training for your staff from £1,600 for remote and £2,600 for onsite training. This also includes financial promotions.

 

The Financial Promotion course provides training to staff of FCA Regulated Investment Firms on the financial promotion requirements outlined in the FCA Handbook Conduct of Business Source Book (COBS) Section 4. The course explains the definition of a financial promotion; identifies when a firm needs to be aware of the rules relating to financial promotions and describes how the rules apply to the staff on a day-to-day basis. Other financial promotion Source Book training is available.

 

Money Laundering Reporting Officer Or Compliance Manager

Sometimes company’s budgets are limited, or they only require a MLRO or Compliance Manager for a fraction of a week. These experienced and qualified individuals can help implement a compliance and/or AML framework and advise you on the relevant risks. We provide staff to function as interim managers for a minimum of 2 days per month from £750 per day.

 

Other Services

 

Recommended

  • 2 x Business Plan Workshops. Helping you to build an effective and descriptive business plan. Up to 2 Hrs each. £2,600
  • Customer Journey Workshop. Adding more value to your Business Plan. Up to 2 Hrs. £1,800
  • Risk Assessment Workshop. Adding even more depth of understanding demonstrated in your Business Plan. Up to 2 Hrs. £1,800
  • Compliance Monitoring Workshops. Showing your understanding of the Regulatory Compliance expectation as an ongoing activity. Up to 2 hrs. £1,650
  • Post Submission Senior Management Training/Workshop. Helping you understand as an FCA authorised person what you are likely to be questioned on and the areas you may need to brush up on. Up to 2 hrs £1,800
  • Wind-Down Planning & Safeguarding measures (Payment Services) planning documents/pack (if applicable) £2,850
  • Financial Projections Offerauthorisation/registrations only
  • Optional Extra – We will arrange, specific to your business type, for your Financial Projections, & P&L from Certified Accountants from an additional £2,900

 

Also see: Pricing and Fees

 

Call us on +44 (0) 20 8087 2377  or email us.

 

If you want to get the right advice, quickly, with clear and totally transparent, unshackling yourself from the confines of an antiquated compliance support service, then contact us.

 

Contact us

 

About us

LS Consultancy are experts in Marketing and Compliance, and work with a range of firms to mitigate risk.

 

We also provide a cost-effective and timely bespoke copy advice and copy development services to make sure all your advertising and campaigns are compliant, clear and suitable for their purpose.

 

Our range of innovative solutions can be tailored to suit your unique requirements, no matter whether you’re currently working from home, or are continuing to go into the office. Our services can be deployed individually or combined to form a broader solution to release your energies and focus on your clients.

 

Contact us today for a chat or send us an email to find out how we can support you in meeting your current and future challenges with confidence.

 

Explore our full range today.

 

Contact us

 

Why Not Download our FREE guides.

 

Call Us Today on 020 8087 2377 or send us an email.

 

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