Compliance

The regulatory demands and expectations of the FCA are continuing to drive an increased focus by our clients to ensure that they are compliant with a wide range of obligations. Aside from specific programmes of change required to address regulatory requirements, there is a massive need to embed appropriate working practices and related technology to comply.

The FCA is continuing to focus on ensuring governance and oversight, and related process controls and technology are able to protect investors' interests and drive fairness in our market place. This has resulted in a massive increase in investment around AML, KYC, CASS and other regulatory reforms and a significant investment in managing, measuring and mitigating the related compliance risks.

The challenge is to address these matters, not just as a one-off change project but ensuring they are timely as rules and demands change, and doing all of this whilst keeping related costs under control?

DBFS are helping clients implement such procedures for complying and ensuring on going monitoring, controlling and reporting. Each of our clients operations and operating models combine to provide a unique set of requirements. Our knowledge and extensive experience ensures that we can reduce timelines around advisory and delivery assignments by reusing solutions, approaches and impact maps to ensure we can deliver a quality service whilst respecting our clients desire to keep costs down.
 
If you have any questions, please don't hesitate to get in touch at: compliance@dbfs.co.uk

 

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