Every business needs an adequate response to the frequently changing regulatory landscape. Regulatory change has now become a constant factor in global financial markets.
Compliance with the broad range of regulatory requirement is mandatory but can be achieved in a well planned and efficient way.
At Create and Comply, our compliance team can help you navigate the complex landscape of Operational and Regulatory Change whilst managing costs and maximising business opportunity.
We specialise in helping our clients meet their requirements both in the UK and International jurisdictions.
Our clients include Asset Managers, Fund Managers, Wealth Managers and Banks.
See below for some of our capabilities and areas of expertise. We offer down to earth and practical advice and assistance.
BREXIT
We offer a full range of services from a review of BREXIT strategy to in depth Project Management, Relocation and Cross Border Business services.
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Client Assets (CASS)
We have been at the centre of this topic over the past 3 years with the FCA and the Asset Management industry.
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GDPR
The new General Data Protection Regulation is a regulatory and technical challenge that needs cross-functional attention in Financial Services companies. Learn more
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Senior Manager & Certification Regime
We worked through this topic for the Insurance market and now we are ready to help Asset Managers and Investment Banks do the same.
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MiFID II
Although the deadline was Jan 3rd 2018 we all know that there will be more to do well into this year. We are able to offer short-term help to embed your project in to BAU or provide longer-term assistance.
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FCA Business Plan Mapping
Each year the FCA publish a Business Plan for the year ahead and sometimes longer time horizons.
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Governance & Board Interaction for Compliance & Ops
Boards of Financial Services Companies are becoming busier than ever and more complicated to operate.
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Client On-Boarding KYC & Suitability
We have a team of experienced staff who are able to review your current set up and provide a health check report or embed within your existing team to help improve procedures and business processes
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Common Reporting Standard (CRS)
Create and Comply have been on the journey with our Clients through FATCA and out the other side to CRS! We know how important it is to get the data and reporting right.
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Outsourcing & 3rd Party Oversight
More and more our projects seem to touch this important area of the business. We have long experience in this field and can help our Clients in different ways.
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Conflicts of Interest
Financial Services companies are driven by the market and their customers to offer an ever-increasing range of services and products.
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