Ongoing Compliance
Support

ACA Compliance (Europe) assists UK firms with their regulatory obligations under the Financial Services and Markets Act 2000 (as amended) and rules promulgated thereunder by the UK’s Financial Conduct Authority (FCA). Additionally, where applicable, ACA advises clients on implementing controls under Directive 2011/61/EU on Alternative Investment Fund Managers (AIFMD) and other relevant European regulatory legislation.

HOW ACA CAN HELP

 

  • Creation of bespoke compliance manuals, monitoring programmes and full compliance controls, policies and procedures (compliance framework);
  • Visiting your firm's premises to introduce the compliance framework and train your team in its application (if applicable);
  • Unlimited telephone and email support as issues arise;
  • Monthly monitoring visits to support your firm's compliance programme;
  • Quarterly reviews, followed by formal reporting of issues;
  • Assistance with the design and maintenance of ICAAP, annual reports, and other internal controls;
  • Mock FCA examinations;
  • Full training solution delivered by people, not computers; and
  • Assistance with managing and addressing FCA correspondence and notifications.

WHY WORK WITH US?

 
ACA's differential is technical depth and commercial awareness overlaid by exceptional client service. We deliberately keep our client-to-consultant ratio low to ensure our clients receive ample attention and support.
 
Our compliance support is designed to help you meet the FCA’s expectations, address what is important, and manage future regulatory developments. We can provide a programme of support customised to your needs. ACA can be engaged on a retained basis, by the project or on a simple ‘paid-hourly’ basis.

REQUEST MORE INFORMATION

 

To request more information on ACA’s compliance services, complete our contact form or call Adam Palmer at +44 (0) 207 042 0500.