A complete and well-presented regulatory application can greatly enhance the speed and success of firm obtaining authorisation thereby enabling it to become fully operational and revenue generating
Trading Compliance can provide you firm with all the necessary regulatory documents designed to help you stay compliant in a practical and efficient way that is appropriate to your business.
AML/CTF and fighting financial crime now need to be at the top of every firm’s agenda. Apart from the risk of financial loss itself, regulatory sanctions - which include criminal penalties, and adverse publicity are highly damaging to any business and career threatening to individuals.
Corporate governance is now seen by regulators as a fundamental requirement for authorised firms. Firms need to be able to demonstrate that they have a robust corporate governance framework
The protection of client assets is one of the top priorities of the regulatory framework. Trading Compliance can help all sizes of firm ensure that they are complying with all client money and client asset rules especially those set out in the FCA CASS sourcebook.
The European Market Infrastructure Regulation (EMIR) came into force in 2012 and aims to increase transparency and reduce counterparty risk in the OTC derivatives market.
The revised EU directive MiFID II is set for implementation in January 2017 together with its accompanying regulation MiFIR. This will reshape the financial services industry across Europe
