The Turner Report is likely to lead to significant regulatory changes. Our compliance consultants have all worked in the investment industry and will help you ensure your firm follows best practice and is future-proof for any upcoming changes.
MSConsultants can help. We have the expertise to:
- assess your regulatory risk
- improve your understanding of the FSA’s T&C requirements
- provide you with compliance and regulatory solutions
- ensure that you remain well informed about the changing regulatory landscape
Our consultancy services also cover recruitment and training strategies, management responsibilities, appraisal policies and procedural issues.
Specifically, we can help you with:
Anti-money laundering
Review AML procedures
Implement AML record-keeping processes
FSA-related activities
Provide support with FSA inspection and ARROW visits
Provide assistance with FSA authorisation
HR issues
Conduct competency assessments
Devise recruitment and appraisal frameworks
Design and implement training strategies
Record-keeping
Review client records
Implement record-keeping policies and procedures
Regulatory compliance
Conduct T&C reviews and audits
Design and run workshops
Provide regulatory updates
SYSC
Review senior management responsibilities
Conduct SYSC reviews
Design an SYSC framework
Complementing these services are our financial services training courses and workshops. MSConsultants training is a highly cost-effective way of keeping up to date and ensuring compliance with regulations and the FSA’s principles-based approach.
