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Compliance, Risk & Governance Solution

Compliance CRG is a niche compliance consultancy firm who specialise in providing seamless and responsive front line support to businesses that are regulated by the Financial Conduct Authority and the Prudential Regulation Authority.

About Compliance CRG

Information about who we are and our points of focus.

About Us

Who We Are

Compliance CRG is a niche financial services consultancy that affords our clients the comfort of the 4th Line of Defence. Our team has broad global networks and years of cross-market regulatory experience, and is committed to providing an outstanding service that exceeds the expectations of our clients. We offer a comprehensive range of Compliance, Risk and Governance solutions, including up to date real time Regulatory Guidance, bespoke Compliance Monitoring Plans, fully inclusive Risk Management Profiles, Financial Promotions approval and editing services, together with associated support to Investment Banking, Investment Management and Fund Management firms regulated by the FCA and the PRA.

Our Points Of Focus

  • Regulatory training & development
  • FCA Regulatory Updates
  • Financial Promotions Oversight
  • Compliance Manual Production
  • Risk Management Programmes
  • FCA Approvals
  • Compliance Monitoring Plans
  • Section 166 Investigations
  • Regulatory Risk Assessment
  • Regulatory Visit Preparation
  • Complaints Investigation
  • Regulatory Returns & Reporting

Compliance CRG Services

View our services below or contact us for information on how we may be able to help you.

Anti-Money Laundering

Are You Protected?

Detecting Suspicious Activity

Addressing The Issues Properly
Regulated firms’ anti-money laundering arrangements remain a high priority for both the Financial Conduct Authority and the Prudential Regulation Authority, as well as overseas regulatory bodies. At Compliance CRG, we have a wealth of experience within this area and can help to ensure that your company is addressing the issues properly. Compliance CRG offers a range of services in relation to anti-money laundering procedures, including:-

  • A review of AML risk assessment.
  • A review of Customer Due Diligence arrangements.
  • Suspicious Activity Reporting.
  • A review of the MLRO’s annual report.

Your Solutions

Need A Regulatory Health Check?

From Simple To Tailored Solutions

Managing Your Regulatory Risk Requirements
Compliance CRG offers a comprehensive range of compliance and regulatory solutions – both from a strategic planning and implementation perspective. A starting point can often be a simple regulatory health check where we assess your needs and any areas that may require attention. Or, as part of a broader strategy, we can assist you in managing your overall regulatory risk requirements with a tailored solution. Examples include undertaking a regulatory audit of your existing compliance resource or offering detailed advice on a particular technical aspect of the FCA’s rules, guidance and regulations. At Compliance CRG, we aim to build a thorough understanding of your business model enabling us to be proactive in our approach. Supporting:-

  • Stockbrokers.
  • Asset Managers.
  • Investment Managers.
  • Independent Financial Advisors.
  • Investment Banks.
  • Fund Managers.

Advice And Assistance

Keeping Track Of Regulatory Developments?

Speak To An Independent Expert

Advice On A Variety Of Subjects
The field of financial services regulation is rapidly evolving and it is often helpful to speak to an independent expert. Compliance CRG can ensure that you are kept in touch with the latest regulatory developments and their impact on your firm. Many clients find it invaluable to talk to our consultants for input and advice on a variety of subjects. Our team provides advice to a large number of FCA and PRA clients, including Stockbrokers, Banks, Investment Management firms, Fund Management firms, Financial advisers and Insurance intermediaries. Compliance CRG can assist with:-

  • FCA and PRA Applications.
  • Training & Competence.
  • FCA and PRA Rules and Regulations.
  • FCA and PRA Compliance Health Checks.
  • FCA and PRA Enforcement Action / Skilled Persons Reports.

Compliance Audit

Is Your Firm Compliant?

Identify Areas Of Improvement

Recommend Courses Of Action
Compliance CRG offers a wide-ranging Compliance Audit service as a way of providing investment firms with an independent assessment of their regulatory requirements. The key benefits of a Compliance Audit are commonly to identify areas where a firm is non-compliant, or where improvements are needed. Our team can recommend courses of action and help ensure that you are able to quickly correct any deficiencies with oversight – giving you that 4th line of defence. A selection of typical Compliance Audits undertaken are:-

  • Financial Promotions.
  • Suitability and Appropriateness.
  • Corporate Governance.
  • Complaints.
  • Treating Customers Fairly.

Compliance Documentation

Remember The Overall Rule?

If It Is Not Written Down

It Does Not Count
Even though firms may believe they have robust systems and controls in place, the regulators are increasingly finding areas where the necessary documentation is either insufficient or incomplete. In order to comply with FCA and PRA rules, Compliance Documentation must be properly evidenced and demonstrated. This is an area where Compliance CRG can help and assist firms, both large and small. Whether it be a simple process manual or a complex root cause analysis requiring sophisticated procedures, our team have the skills and experience to help. Remember the overall rule. If it is not written down – it does not count!

Compliance Monitoring Plan

Is Your Firm Compliant?

Detecting Breaches And Errors

Reviewing / Producing Bespoke Plans
The Financial Conduct Authority requires all firms to detail their Compliance Monitoring Plan. This plan is used to benchmark the level of compliance on a continual basis against pre-defined benchmarks, to ensure that no regulatory rules are breached. If any breaches or errors are detected, a control mechanism should be implemented. Our team at Compliance CRG can either review your existing plan to check whether it is compliant, or we can produce a wholly bespoke plan based on your specific business activities.
News Archive

Compliance CRG News

View our latest news articles below or go to our news archive.
News Archive

Transforming Culture in Financial Services

Having published a discussion paper on “Transforming Culture in Financial Services” on 12 March 2018, Andrew Bailey, the Chief Executive of the FCA, gave a speech to the Financial Conduct Authority conference where he emphasised [...]

Contact Compliance CRG

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Get In Touch

  • Compliance CRG, 11th Floor, 88 Wood Street, London, EC2V 7RS
  • 08438 860 483
  • info@compliancecrg.com