Home » FCA Compliance support

Comprehensive range of services for firms operating in the FX and CFD sector

We bring a deep and strong sector knowledge and experience with a solutions-based approach, working alongside internal compliance resources and functions to help firms of any size identify potential areas of improvement in meeting their regulatory compliance and governance obligations.

Our added-value services are designed to support firms operating in the FX and CFD sector delivering their own internal oversight and governance obligations in an effective and cost-efficient manner.

 

Core

Compliance support

 

Enhanced

Compliance support

PEACE OF MIND

Premium

Compliance support

From only
£499
per month, per company
+

Request Now

From only
£1,499
per month, per company
+

Request Now

From only
£2,499
per month, per company
+

Request Now

One-off implementation fees
From only £2,499

Price depends on company permissions

Advice & Queries
E-mail & phone access for clients to respond on queries within the scope of services
Discount for Ad-hoc services

5%

10%

15%

Relationship management
A quarterly telecon/on-site meeting to discuss clients changes and needs
Regulatory Governance
FCA SYSC framework
GDPR
Treating Customers Fairly (TCF)
Best Execution
Financial-crime policy
Suspicious Activity Reporting (SAR)
Risk-Based Approach framework (RBA)
Outsourcing/Third-Party reliance & agreements
Complaints
Conflicts of Interest
Market Abuse (e.g. Staff/Insider Dealing)
Politically Exposed Persons (PEP’s)
SM&CR
Financial Promotions (FP’s)
Contingency/Business recovery
Anti-Bribery & Corruption (ABC)
Sanctions Management
Risk monitoring & Reporting tools
Compliance Monitoring Plan
Compliance test/review summary
CO/MLRO Annual Report
Periodic CO/ MLRO Reporting

CO/MLRO KRI-KPI Dashboard metrics

Outsourcing policy and monitoring
Evidencing Compliance
Staff Attestation
Self-Certification
Compliance checklists
Training/Testing records
Responsibility mapping and definitions
Fresher training solutions
UK regulatory systems overview
Compliance culture & values
Horizon – Scanning
Sector generic horizon-scanning summary on a half-yearly basis
Regulatory News and Insights
Regular News and Insights on hot topics related to the FX and CFD sector
Request Now Request Now Request Now
  • Terms and conditions apply for each of our services
  • Monthly fees and implementation costs are excluding VAT
  • All tiered services are based on 12 months contract

COMPLIANCE

Core

Compliance support

From only £499/month
+

Request Now

One-off implementation fees from
From only £2,499
Advice & Queries
E-mail & phone access for clients to respond on queries within the scope of services
Discount for Ad-hoc services
5%
Relationship management
A quarterly telecon/on-site meeting to discuss clients changes and needs
Regulatory Governance
FCA SYSC framework
GDPR
Treating Customers Fairly (TCF)
Best Execution
Financial-crime policy
Suspicious Activity Reporting (SAR)
Risk-Based Approach framework (RBA)
Outsourcing/Third-Party reliance & agreements
Complaints
Conflicts of Interest
Market Abuse (e.g. Staff/Insider Dealing)
Politically Exposed Persons (PEP’s)
SM&CR
Financial Promotions (FP’s)
Contingency/Business recovery
Anti-Bribery & Corruption (ABC)
Sanctions Management
Risk monitoring & Reporting tools
Compliance Monitoring Plan
Compliance test/review summary
CO/MLRO Annual Report
Periodic CO/ MLRO Reporting
CO/MLRO KRI-KPI Dashboard metrics
Outsourcing policy and monitoring
Evidencing Compliance
Staff Attestation
Self-Certification
Compliance checklists
Training/Testing records
Responsibility mapping and definitions
Fresher training solutions
UK regulatory systems overview
Compliance culture & values
Horizon – Scanning
Sector generic horizon-scanning summary on a half-yearly basis
Regulatory News and Insights
Regular News and Insights on hot topics related to the FX and CFD sector
Request Now

 

Enhanced

Compliance support

From only £1,499/month
+

Request Now

One-off implementation fees from
From only £2,499
Advice & Queries
E-mail & phone access for clients to respond on queries within the scope of services
Discount for Ad-hoc services
10%
Relationship management
A quarterly telecon/on-site meeting to discuss clients changes and needs
Regulatory Governance
FCA SYSC framework
GDPR
Treating Customers Fairly (TCF)
Best Execution
Financial-crime policy
Suspicious Activity Reporting (SAR)
Risk-Based Approach framework (RBA)
Outsourcing/Third-Party reliance & agreements
Complaints
Conflicts of Interest
Market Abuse (e.g. Staff/Insider Dealing)
Politically Exposed Persons (PEP’s)
SM&CR
Financial Promotions (FP’s)
Contingency/Business recovery
Anti-Bribery & Corruption (ABC)
Sanctions Management
Risk monitoring & Reporting tools
Compliance Monitoring Plan
Compliance test/review summary
CO/MLRO Annual Report
Periodic CO/ MLRO Reporting
CO/MLRO KRI-KPI Dashboard metrics
Outsourcing policy and monitoring
Evidencing Compliance
Staff Attestation
Self-Certification
Compliance checklists
Training/Testing records
Responsibility mapping and definitions
Fresher training solutions
UK regulatory systems overview
Compliance culture & values
Horizon – Scanning
Sector generic horizon-scanning summary on a half-yearly basis
Regulatory News and Insights
Regular News and Insights on hot topics related to the FX and CFD sector
Request Now

 

PEACE OF MIND
Premium

Compliance support

From only £2499/month
+

Request Now

One-off implementation fees from
From only £2,499
Advice & Queries
E-mail & phone access for clients to respond on queries within the scope of services
Discount for Ad-hoc services
15%
Relationship management
A quarterly telecon/on-site meeting to discuss clients changes and needs
Regulatory Governance
FCA SYSC framework
GDPR
Treating Customers Fairly (TCF)
Best Execution
Financial-crime policy
Suspicious Activity Reporting (SAR)
Risk-Based Approach framework (RBA)
Outsourcing/Third-Party reliance & agreements
Complaints
Conflicts of Interest
Market Abuse (e.g. Staff/Insider Dealing)
Politically Exposed Persons (PEP’s)
SM&CR
Financial Promotions (FP’s)
Contingency/Business recovery
Anti-Bribery & Corruption (ABC)
Sanctions Management
Risk monitoring & Reporting tools
Compliance Monitoring Plan
Compliance test/review summary
CO/MLRO Annual Report
Periodic CO/ MLRO Reporting
CO/MLRO KRI-KPI Dashboard metrics
Outsourcing policy and monitoring
Evidencing Compliance
Staff Attestation
Self-Certification
Compliance checklists
Training/Testing records
Responsibility mapping and definitions
Fresher training solutions
UK regulatory systems overview
Compliance culture & values
Horizon – Scanning
Sector generic horizon-scanning summary on a half-yearly basis
Regulatory News and Insights
Regular News and Insights on hot topics related to the FX and CFD sector
Request Now

 

An additional ‘Ad-Hoc’ range of project-based supporting services to keep a smooth running of your business

Our specific ‘Ad-Hoc’ supporting services are separately tailored to your business-model and proportionally designed to your actual needs. These will typically embrace more complex and specialised project-based work tasks identified by or with clients, such as:

✓ Regulatory business plan
✓ Resolution & Recovery Plans (RRP)
✓ Client Assets (CASS) management policy and procedures
✓ Regulatory footprinting against the FCA Handbook
✓ FCA applications e.g. Authorisations, Variations of Permission (VoP), Changes in Control, Registration/Approval applications for individuals (CF1, CF10, etc), etc.
✓ Client On-boarding processes and documentation
✓ Scoping and briefing for lawyers and other third-part advisers
✓ Wide range of bespoke training material and solutions
✓ ICAAP framework and components e.g. Risk Register
✓ Regulatory inspection/visit planning e.g. mock interviews of key personnel
✓ Mergers & Acquisition or other third-party due-diligence

AND MANY MORE AVAILABLE TOO!

We invite you to contact us today to discuss and see how we can help
Compliance - FX&CFD
Compliance - FX&CFD

We have also teamed-up with carefully selected third-parties to offer a range of services to clients under an especially negotiated terms

✓ Statuary annual audit
✓ Legal advice
✓ Tax advice
✓ Financial projections
✓ICAAP risk management
✓ Skilled Person Review (s.166)
✓ Market data management
✓ Transaction reporting services

AND MANY MORE AVAILABLE TOO!

We invite you to contact us today to discuss and see how we can help