top of page

SERVICES

Anglia Compliance can help your firm navigate today's complex regulatory requirements across multiple jurisdictions.  Areas of specialism include:

FCA

  • Advising on new requirements and how best to implement them

  • Ensuring your policies and procedures meet requirements and fit business practices

  • Monitoring compliance throughout the business

  • Preparing, submitting regulatory applications for SMCR, AP and Part IV Permissions

  • Assisting with preparing regulatory returns and submitting them

  • Ensuring that your regulatory business and compliance plans remain robust

  • Providing training on key regulatory topics (SMCR, Financial Crime risks, DPA, Conduct Rules, Conflicts of interests, Directors Duties among others)

  • Advising and supporting on CEO letters, thematic reviews and on site visits

  • Liaising with regulators (domestic and overseas)

Compliance Processes

  • Handling due diligence requests

  • conducting due diligence inquiries for trading partners and customers

  • handling the TOBA process inwards and outwards

  • Establishing and implementing training programmes for all staff

  • effecting file reviews and other audit work

  • Establishing Risk Registers and maintaining them

  • Acting as a point contact on compliance queries

  • Establishing companies and administering corporate filings

 

Knowledge base

Anti Bribery & corruption, Anti Money Laundering, Data privacy, Criminal Finance Act,

Sanctions, Corporate compliance, Governance, 

Managing conflicts of interest, lloyd's Market contracts including binding authorities and Appointed Representatives 

Anglia Compliance is the trading name of Anglia Broker Compliance Limited. Registered Address: 9 Fairfield, Ingatestone, Essex CM4 9ER, Registered in England & Wales. Company No: 07237579

bottom of page