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