UK Compliance SolutionsOngoing Compliance SupportRegulatory advice
Regulatory advice
Waystone’s experienced team can provide advice to support your firm across a wide range of regulatory matters. We can provide support on the following routine topics:
- application of FCA rules, including threshold conditions
- prospective FCA rule changes and their potential impact
- regulatory horizon scanning
- advice on regulatory business plans
- application of the Senior Managers & Certification Regime (SM&CR)
- fitness & propriety
- Appointed Representative regime
- Consumer Duty
- prevention of financial crime, including money laundering and market abuse
- compliance procedures
- general Conduct of Business requirements
- Environment, Social and Governance (ESG) regulations
- financial promotions and client communications
- investigations and advice on potential rule breaches and customer complaints
- regulatory processes, such as Variation of Permission (VoP) and Change in Control applications
- communications with the FCA
- regulatory financial accounting, prudential rules, ICARA and RegData reporting.
If you would like to discuss your requirements further, please get in touch using the contact form below.