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)

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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 

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