Compliance

Here at Regulatory Counsel, we offer a number of services to help you stay on top of you regulatory requirements. 
We offer both onsite compliance as well as an outsourced compliance service, where we are able to manage all of your compliance requirements and obligations. Our team will closely with your senior management as well as individual departments within your firm where applicable, such as legal, compliance and IT. 
Our compliance service includes the following: 
  • Initial governance and compliance audit
  • Ongoing compliance management (where we manage your compliance remotely)
  • Outsourced Ongoing compliance management (where we manage your compliance remotely from our offices)
  • Staff training and testing - both remotely and onsite
  • Financial promotions and marketing audit, review and compliance
  • Policy and procedures drafting
  • FCA reporting management
  • FCA visit preparation, support and management
To discuss your requirements, please contact us on info@regulatorycounsel.co.uk or call us on 0207 164 6876