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COMPLIANCE SUPPORT.

Fostering growth with robust compliance framework...

COMPLIANCE SUPPORT.

In today's global environment, even small firms face a complex, fast-evolving regulatory landscape. In such an environment, firms are expected to dedicate significant resources to compliance functions, ensuring that the internal arrangements are compliant and appropriate records are kept to evidence this.

In these circumstances, we can provide the resources that you require; whether you need help addressing a discrete project, implementing new processes, designing and implementing remedial action or indeed other ad-hoc support.

RRCA's expert team can provide you with a comprehensive quality service in the UK and EEA whilst remaining flexible.

 

Our consultants are dedicated to supporting firms of all sizes through personalised fees, including fixed-fee, hourly rate or retainer arrangements. 

If you have any questions, we would be delighted to have an obligation free and confidential discussion with you.

HOW WE CAN SUPPORT FIRMS.

RRCA is proud to support a range of firms in the financial services sector, from start-ups to established national and international firms. Throughout our support work, we can assist firms (by way of example) with:

  • Regulatory Returns (RMAR)

  • Managing FCA mandatory notifications such as:

    • Sup 15. Annex 4

    • Change of Control Notifications,

    • Variation of Permissions 

    • Change of Board Structures (SMF authorisation and de-authorisation)

  • FCA compliance and general regulatory training

  • Conduct Rule training

  • Whistleblowing investigations

  • Board Briefings

  • Authorisation Applications

  • Ongoing general support of the compliance functions

  • Support with ICO notifications concerning data breaches

  • Cross-border jurisdictional support in the EEA, in particular:

    • Operating a subsidiary,​

    • Freedom of Services (FoS) or Freedom of Establishment (FoE) applications

    • Regulatory applications or queries in the EEA

Let's get started!

If you have any questions about your arrangements or you are a startup looking for guidance, contact our expert team.

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At RRCA we provide a comprehensive and tailored service, meeting individual needs and FCA obligations. Whether you are a start-up or an established firm, our expert consultants are here to provide guidance and support.

You can find ample information on our website or if you prefer, simply contact us for an obligation free and confidential discussion about your needs.