Strategic Compliance Advice to FSA Firms

It is vital to the devlelopment of any regulated business that the Board is well advised on compliance and that the advice is strategic, not reactive.  It is unlikely that smaller Corporate Finance, Private Equity and Collective Investment firms will need to have a full time team member to advise on or oversee compliance and that is why they should look to an advisor who can be on hand when (and only when) required.

Examples of recent strategic advice to Boards includes:

• A corporate restructuring to reduce capital requirements
• Establishing a division, in a new business area, under new FSA rules
• Board-level compliance training (formal and informal)
• Effecting variations of permissions to cut costs and increase scope
• Performing strategic assesments of risk (including ICAAP)
• Creating business procedures for new and existing businesses
• Planning marketing, and creating documents, for funds and schemes

If you would like to discuss any aspects of strategic compliance advice, please do call or e-mail us.