Comply Ad-Hoc

COMPLY Ad-hoc pertains to any other project relating to FCA compliance that has defined deliverables.

 

Our COMPLY Ad-hoc service is here to assist you with bespoke projects that complement your own in-house compliance team and is based as a structured "bulk time" project. 

 

Perhaps you want to explore a new business line, or partner up with another company? Maybe you are unsure of what your permissions allow you to do, or you don't understand how a competitor seems to be getting away with something you thought was forbidden? Whatever the issue, if it involves compliance, FinTech Compliance would be delighted to help.

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This could include (but not limited to): 

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- Replacing an FCA Approved Person

- Assistance with updating your policies and procedures

- Help finding suitable senior compliance individuals to ensure your company has employees with suitable skills, knowledge and expertise.

- Assistance updating the firm's business plan

- Assistance drafting a response to the FCA

- Assistance with Financial Promotions

- Assistance and guidance formulating your AML procedures

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