Roger Purcell
 Financial News

Services to firms authorised by the Financial Conduct Authority

The main issues are normally:

  • Helping firms be compliant
  • Helping firms to set up systems to demonstrate compliance
  • Helping firms to use the legislation and the changing marketplace to develop their business

Examples include

  • Advice on dealing with an FCA visit (either before or after the event)
  • Advice on organisational structure in the light of FCA regulations
  • Advice on the most appropriate permitted activities for a firm and the individuals that need to be Approved Persons
  • Assisting in training staff
  • Assisting a firm to prepare compliance procedures
  • Assistance in completing FCA returns
  • Advice on systems and controls and on prudential requirements
  • Carrying out regular compliance reviews
  • Advice on the FCA Handbook generally
  • Acting as non-executive director to provide an independent view

Other services

  • Advice on the requirement for authorisation (particularly with regard to financial promotion)
  • Advice on the financial promotion of unregulated activities (particularly unauthorised collective investment schemes)
  • Advice on structuring a business so as to avoid the need for FCA authorisation
  • Advice and assistance in obtaining authorisation from the FCA
  • Advice to professional firms regulated under the Designated Professional Body regime.
  • Advice on systems and training on anti-money laundering procedures
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Copyright © 2002 Roger Purcell. All rights reserved.

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