Compliance Support Services

Bespoke Compliance

Our bespoke compliance services packages are designed by you to provide whatever ongoing compliance support you need to meet FCA requirements in an ever-changing regulatory environment. Our foundations are in culture and conduct mean we really get to know you & your business to deliver true value during every interaction, delivered proportionately and cost competitively

Our bespoke ongoing compliance support packages reassure you that compliance is taken care of so you can spend time on what matters most – growing your business. With detailed knowledge on the FCA and our expertise, we uncover where you are exposed to regulatory risks.

Compliance Support Services

Tracking Regulatory Change

The financial services industry continues to experience waves of significant and ever evolving regulatory change, often involving intangible elements.  It is difficult for firms to digest coming regulation, to design and implement controls, and to manage the changing landscape, whilst always providing assurance to senior management and regulators that the controls are robust and effective.

We work with most of our clients for the long term, providing a suite of ongoing services from investment workshops to audits.

Compliance Services FAQs

Which investment compliance services do I need?

MCM compliance provide compliance services specifically to investment firms and businesses that operate in the financial services industry. We ensure that our clients comply with the regulatory requirements set out by the Financial Conduct Authority (FCA), which is the UK’s primary financial regulatory body.

We provide the following core compliance services, among others:

  • Compliance risk assessments: Our team will evaluate the compliance risks associated with your business operations and identify areas where compliance is most critical.
  • Compliance policies and procedures: We support you in developing policies and procedures to ensure that your business complies with relevant laws and regulations.
  • Training: Our team provide on-site and remote training to employees on compliance issues, including how to identify and address potential compliance risks.
  • Monitoring and auditing: We can then provide ongoing monitoring of your compliance over time and conduct periodic audits to ensure that the agreed policies and procedures are being followed.
  • Regulatory reporting: We can support you with regulatory reporting to the FCA and other relevant regulatory bodies.
  • Remediation: If we identify any compliance violations, we will work with you to remediate the issue and develop a plan to prevent similar violations in the future.

We provide additional services, including advising on best practices and changes to regulatory requirements, assistance with license applications, and support during regulatory inspections.

Our aim is to help investment businesses to operate within the bounds of the law and avoid legal and reputational risks related to non-compliance.