START UP
We offer different packages for managers in start up mode including Full Compliance Set Up and Compliance Framework for new firms. We understand and work with the different parts of your business to ensure all areas are ready for both regulatory approval and interaction with potential investors.
COO/CCO/OPERATIONS
We understand that Day 1 may mean no COO or other staff in place but you need to get going. Our COO/CCO/Operations set up can be tailored to meet your needs and free up your time.
FCA AUTHORISATION
End to end management of initial FCA authorisation process. Changes to existing permissions. Change of control.
COMPLIANCE FRAMEWORK REVIEW
We can provide an assessment of your firm’s Compliance Framework. Informal or formal, as required, to help give you assurance that your framework is fit for investor due diligence and regulatory scrutiny.
BESPOKE Projects
We can put a plan in place for whatever is required, including: Cyber Security and IT. Administrator due diligence. AML review. Compliance reports.
ONGOING Support
Need in-house compliance on a regular basis? We provide support starting at one day a month.