With a multitude of sources of broad-ranging prudential rules, firms can experience difficulty with interpreting how they affect their business, both in general terms and on specific issues.
Our expert prudential consultants work with you to provide assistance with interpreting the rules in the FCA’s Handbook and specific advice on nuanced issues they face. We also conduct health-check reviews of firms’ prudential governance, infrastructure and compliance, providing targeted feedback and advice on where enhancements can be made.
21 March 2023 • Governance Risk & Compliance
As the UK moves toward a new financial environment post-Brexit, the FCA is beginning the process of shaping the new regulatory regime and is open to feedback from fund managers and investors through its latest discussion paper, which it will use to create an accurate picture of what investors and funds really want. The modernisation […]
16 March 2023 • Governance Risk & Compliance
Regulators globally are placing increased focus on the identification of anti-money laundering (“AML”) control deficiencies and Know Your Customer non-compliance. This places even more scrutiny on the AML officers who are charged with ensuring that an AML framework is robust and at all times compliant with jurisdictional AML regimes. In the alternative investment funds space, […]