Telephone 020 3813 2890 for a free no obligation chat about your regulatory requirements with one of our compliance consultants.
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Here to help with Regulation and Compliance
Regulatory Support Services
Regulated businesses are subject to a wide range of rules from the UK regulators (FCA and PRA) as well as directives and legislation from Europe. Not only must firms comply with the rules but they must keep up to date with developments and changes. Our team of Compliance Consultants can help with any regulatory requirement or query you may have and would be happy to hear from you.
Regulatory Compliance Advice and Support
Compound Growth Limited is here to help its clients establish, maintain and grow their businesses in compliance with an increasingly complex financial regulatory regime. Our regulatory consultants help with:
- Authorisation / Variation of Permission / Passporting
- Regulatory changes - including SM&CR
- Regulatory reporting - Including COREP and other Gabriel returns
- ‘Prudential’ requirements - such as CRD IV and ICAAP (Internal Capital Adequacy Assessment Process)
- ‘Conduct of business’ requirements - like Best Execution
- Client Money and Assets segregation, including Client Money Health Checks and reviewing your Client Assets Resolution Packs (CASS RP)
- Transaction reporting and trade reporting - including EMIR
- DAC & Common Reporting Standards (CRS)
- Procedures for client on-boarding & due diligence support
Regulatory Support Tailored to Your Business
Our compliance consultants are specialists in the financial markets, offering a good understanding of the commercial as well as the regulatory aspects of:
Contact Our Compliance Consultants
If you’d like to discuss how our regulatory & compliance consultants can help your business move forward compliantly, please give us a call for a free, no obligation chat or send us an email and we’ll get back to you as soon as possible.
“ Helping your business move forward compliantly”
Compound Growth Compliance Consultants
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- Stockbrokers
- Derivatives Brokers - including Forex, CFD and Spread Betting providers
- Commodity Traders
- Investment Firms
- Commodity Traders
- Principal Dealers
- Clearers
- Asset Managers
Send EmailCall by Telephone:
(020) 3813 2890
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