Contact: Andy Wood |
FSA Compliance
Established businesses
Maintaining FSA compliance
Once authorised, several elements need to be drawn together to ensure the adequate continuing performance of the compliance function. The very culture of the firm needs to be one where compliance is given the priority and resources required. This means active involvement from the senior managers, comprehensive compliance documentation and sensible and relevant monitoring, training and reporting programmes.
We work with clients to establish the optimal compliance framework, whilst ensuring awareness of responsibilities under the FSA Rules and we provide practical and hands-on assistance to ensure that the internal compliance function runs smoothly, efficiently and effectively. Normally this involves regular visits from one of our team of experienced compliance consultants.
We also provide ongoing compliance and anti-money laundering training and ensuring our clients are up to date with rule changes and developing regulatory issues. We are always available to answer specific questions, to assist in dealing with issues raised by the FSA, or to attend should the FSA decide to make an inspection visit.