Compliance Support Services Explained


INSIGHT
Published
Jun 4th '24
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Once your organisation has accomplished authorisation, you’re dedicated to satisfy a variety of on-going Financial Conduct Authority (FCA) compliance responsibilities. Companies either pick our services to help resolve specific issues or to handle the effect and impact of new policy or we tailor a retainer agreement to satisfy their particular continuous requirements.

 

Retainer agreement

Our extremely skilled group of compliance specialists have market and regulatory backgrounds supplying an unique mix of skillsets and giving you the confidence that your continuous regulatory responsibilities will be satisfied to a high expert requirement.

 

With retainer service contracts separately tailored to your organisation we provide an agreed service delivery and schedule. Having operated in your sector, our professionals understand your compliance obstacles and opportunities. They share their backgrounds and understanding to solve issues; so you reap the benefits of a unique sum total of competence.

 

Supplying you with budget certainty and on-demand access to an extremely trustworthy compliance partner and a topic expert panel, usually, our retainer contracts include:

 

  • Compliance management; setting up and your Compliance Monitoring Programme, including automating it if required.
  • Compliance audits; independent bench-mark reviews and health-checks to make certain your systems, controls, policies and regulatory procedures are kept up to date
  • Documents/Governance; such as policies and written processes or procedures
  • Financial promotions including initial reviews and ongoing assessments or critiques, including video and social media marketing
  • Training; e.g., informing personnel on anti-money laundering or assisting senior management create a suitable governance framework
  • Regulatory reporting; consisting of returns and evaluation of prudential requirements
  • For Payment Services companies based on PSD2, we provide distinct service plans particularly created satisfy the increased regulatory needs and responsibilities.
  • And Capital Market companies gain from a specific methodology which permits us to craft a bespoke, flexible assistance package

 

For companies fall into the Asset Management, Broker Dealers & Traders, Corporate Finance, Crowdfunding, FinTech, Infrastructure, Investment Management, P2P Lending, Private Equity, Venture Capital and Wealth Management can all benefit from individual and tailored packages.

 

Related: Additional Regulatory Compliance Services

 

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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We are Affiliate Members of the Consumer Duty Alliance.