0203 916 0161

info@compliancecrg.com

   
 
   

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

 

Compliance Monitoring Plans

FCA Regulatory Updates

 

Section 166 Investigations

Financial Promotions Oversight

 

Regulatory Risk Assessment

Compliance Manual Production

 

Regulatory Visit Preparation

Risk Management Programmes

 

Complaints Investigation

FCA Approvals

 

Regulatory Returns & Reporting

 

 

 

 

 

     
 
 
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