Regulators from all around the world are closely examining the risk mitigation strategies used by compliance teams in light of the growing usage of electronic platforms like Teams, Zoom, SMS, WhatsApp, and WeChat.
Due to violations of books and records and electronic communications, the U.S. Securities and Exchange Commission fined 16 sizable financial institutions over $1.1 billion in the latter part of last year.
Does your company go far enough?
LS Consultancy can assist you in moving forward with the necessary actions to ensure that your company is ready for the arrival of the regulators.
Here is a useful Guide on How to prepare for an Financial Conduct Authority (FCA) visit, which has much more detail on how to prepare for a visit from the UK FCA.
The Guide is free, and you can download a copy here. It contains a wealth of tips on how you can be ready for the FCA if they decide to visit your firm, along with 13 questions you should ask yourselves before the regulator arrives.
A visit from the FCA can be a daunting prospect, but with the right groundwork, you can be prepared if they decide to call on your firm.
LS Consultancy is ideally placed to support firms of all sizes and types with this Financial Promotions review.
Need some promotional advice? If you want to understand more about how to make sure your marketing materials meet FCA standards, please click here.
The Compliance workload shows no signs of decreasing. An ever-growing list of requirements and regulatory changes makes the compliance role harder than ever.
When you face business or regulatory challenges, we provide solutions that are tailor-made to your needs with a view to releasing your energies to focus on your clients.
LS Consultancy offer a complete solution with a range of cost effective, regulatory compliance and marketing products and solutions, copy advice and copy development which are uniquely suited to supporting firms.
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