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SERVICES

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Compliance advisory/consultancy work for a variety of FCA regulated firms encompassing corporate finance advisory, brokerage and asset management businesses. 

 

Working closely with Boards, Executive Committees and Senior Managers (under SMCR) across a broad range of topics: 

Analyzing Data
FCA AUTHORISATION
ASSISTING FIRMS TO OBTAIN FCA AUTHORISATION
Gavel
AML/FINANCIAL CRIME 
ANTI-BRIBERY AND MARKET ABUSE TRAINING 
Analyzing Graphs
COMPLIANCE HEALTH CHECKS
 
SMCR & CONDUCT RULES
Brainstorming
IMPLEMENTATION OF COMPLIANCE POLICIES & PROCEDURES
DUE DILIGENCE REVIEWS
e.g. KYC / CLIENT ON-BOARDING PROCESS
Contract Review

2020 by Cornhill Compliance 

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