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We have an experienced team who understand compliance regulations and legislation in multiple jurisdictions. Our services include:

  • Assistance with the production of key materials such as compliance manuals
  • Business plan creation and submission for entities wishing to become regulated
  • Generation of reports for submission to regulators such as the Financial Conduct Authority (FCA), Central Bank of Ireland (CBI) or Guernsey Financial Services Commission (GFSC)
  • Coordination and point of contact for all regulatory queries
  • Monitoring of emerging risks to clients’ businesses whilst ensuring ongoing compliance obligations are met
  • Performance of anti-money laundering (“AML”) checks and maintenance of conflicts registers, including personal account dealing authorisation and record keeping
  • Assistance with know your customer (“KYC”) procedures including thorough due diligence and checking
  • Assistance with general contract preparation and review
  • Provision of advice on effective wording of insurance in contracts and other documentation
  • Verification of compliance of insurance certificates and other documentation to ensure adequate coverage and endorsements, as well as insurance company solvency and other requirements
  • Provision of regular reporting to identify non-compliance and other potential problems
  • Continuous access to all business compliance records through a secure online data room

Key contacts: