Compliance and T&C consultancy
The growth in regulations governing the financial services industry has been significant in recent years. Understanding the regulations, complying with them and keeping up to date with new ones can be daunting and time-consuming.
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 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.
