Compliance and Regulatory Affairs


INSIGHT
Published
Sep 26th '23
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Our global team of renowned professionals offers compliance and regulatory services to clients in the financial services industry, working with you to reduce risks, increase efficiency, and ensure compliance.

 

Expertise in local and international compliance for the financial services sector.

 

Professionals in the financial services industry call on our team for support throughout the whole company lifecycle for both domestic and international jurisdictional assignments.

 

In order to assist clients, our Financial Services Compliance and Regulation brings together a financial services specialty, practical experience, independence, and a cohesive worldwide workforce.

 

  • Boost productivity by creating, implementing, and managing customized, risk-based programs.
  • Reduce fines and damages by spotting problems early and advising proactive action.
  • Stay compliant by deftly navigating risks in a regulatory environment that is rapidly changing.
  • Start strong with regulatory authorization, registration, and licensing and initial compliance setup.
  • Reach goals through providing services in a responsible, timely, affordable, and of a high grade.

 

How can help

When it comes to meeting regulatory requirements, reducing risks, and navigating the quickly shifting regulatory environment, financial services clients enlist our help at every point of the business lifecycle.

 

Start-up

  • AIFM/UCITS management company
  • Design of governance, risk, and compliance models
  • Compliance infrastructure, including compliance manual, staff, policies, procedures, systems, and controls

 

Business as Usual

  • Annual and independent assessments of regulations and compliance, as well as health checks and simulated regulator audits
  • Ongoing compliance technical help, as needed or on retainer
  • Long-term advisory partnerships
  • Regulatory reporting
  • Short-term and long-term secondments, including MLRO, risk, and compliance
  • Financial promotion advice

 

Periods of Change

  • Assignments related to regulatory change
  • assistance with remediation design and implementation
  • regulatory due diligence for mergers and acquisitions

 

Times of Distress

  • preparation and assistance for regulator visits and inspections
  • reviews ordered by regulators, such those conducted by skilled persons; advice and support for enforcement, as well as remediation before, during, and after enforcement

 

Our Unique Framework

In addition to governance and individual accountability, conduct and culture, risk and compliance, financial crime (including AML and sanctions), capital markets (including market abuse and transaction reporting), environmental sustainability, client funds/assets, and operational and enterprise risk are among the technical specialties in which our team is highly skilled.

 

Our industry specialists have a wealth of skill, and they offer our clients advicee that is individualised and pertinent to their unique needs and line of work.

 

 

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.

 

 

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

 

Contact us

 

About us

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

 

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 compliance challenges with confidence.

 

 

Explore our full range today.

 

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

 

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Connect with us via social media and drop us a message from there. We’d love to hear from you and discuss how we can help.

 

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