We have years of experience in advising on financial services regulatory compliance matters having advised a number of financial institutions in order to achieve compliance with a constantly evolving and increasingly challenging regulatory compliance framework.
Our experience in advising on regulatory compliance issues goes back to the pre-MIFID era and UCITS III through the coming into force of MIFID in 2007 and the Third AML Directive and leading up to the Short Selling Regulation, EMIR, UCITS IV, CRD IV, AIFMD and FATCA. We help protect our clients from regulatory risk in an increasingly complex and challenging regulatory environment delivering tailor made solutions and advice to suit the structure and business model of each of our clients.
Our services range from putting in place or policies and procedures, terms and conditions, client take-on and other client facing documentation, reviewing policies and procedures, terms and conditions in order to achieve compliance with changes in the regulatory framework, to training of back office, middle office and front office on the application and use of policies and procedures and documentation put in place providing guidance on good and bad practice as appropriate, general support and advisory services and providing in-house training on an ad-hoc basis as required by our clients as part of their policies of staff training and development and compliance with regulatory requirements on training of staff.