Your One Stop
Compliance, Risk & Governance Solution

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.

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!