FCA Compliance

Compliance issues will always be present and fund managers need either to devote their time to understanding and managing them or to ensure that a trusted partner is managing this aspect of their business.  Set out below are a range of projects that we have helped clients with:
  • Application for authorisation 
  • Ongoing Compliance support for Boards and Compliance Officers
  • Rule Book analysis
  • Drafting Compliance Manuals
  • Compliance Audits and Reports
  • Mock FCA Visits
  • ‘Keeping up to date’ briefings
  • Training