Ian Manson
Managing Director
Compliance and Regulatory Consulting
London
Ian MansonCompliance and Regulatory Consulting
This will enable your firm to provide investment advice or corporate advisory services to your professional clients as an FCA Appointed Representative firm of Duff & Phelps Securities Limited.
Whether you are seeking to umbrella under a FCA regularly licensing solution for the longer term, or simply whilst your firm seeks its own FCA authorization, under our solution we aim to ensure that your firm is set-up and fully operational in less than one month.
Our FCA regulatory solution platform is flexible, enabling your firm to provide many regulated activities to your clients, including investment advice, corporate finance advice, agency brokerage activities and marketing.
With our deep understanding of the global regulatory environment, we provide regulatory hosting services in Europe and work with you to ensure that your firm operates in compliance with the relevant regulatory requirements.
We provide
All compliance procedures and staff training to ensure you are operating within the current regulatory environment and that internal compliance standards are being met
A review of any outgoing promotional materials to your clients, to ensure regulatory compliance
We will register your firm’s strategic goals and have relevant investment staff registered as Approved Persons with the FCA
Should you desire, we can also help you to achieve your own FCA authorization while you are covered by our regulatory hosted solution
Benefits to your firm
Less time and hassle – you will be able to provide your services to clients within one month, without having to undergo the time, trouble or expense of obtaining a full FCA regulatory authorization
Peace of mind that you are fully compliant – under our regulatory umbrella, we will ensure that best practice is adopted and maintained by your firm, with regards to regulation and compliance procedures
Advantageous to your own FCA hosted regulatory solution – going through this process while under our regulatory umbrella will be more straight-forward for your firm, should you decide to transition to your own FCA authorization
Valuation Advisory
Transparent valuations of illiquid investments and complex securities and liquidity solutions through secondary market transactions.
Alternative Asset AdvisoryCompliance and Regulatory Consulting
Comprehensive compliance and regulatory support for FCA authorized firms.
UK RegulationCompliance and Regulatory Consulting
Comprehensive FCA Authorization support.
FCA Authorization Application for Financial ServicesCompliance and Regulatory Consulting
Support in drafting and filing FCA reports.
FCA Reporting SupportCompliance and Regulatory Consulting
Broad and integrated range of regulatory financial reporting, company secretarial, and payroll services.
Business ServicesDisputes and Investigations and Legal Management Consulting
Expert analysis to help clients understand, prevent and manage fraud.
Global Fraud and Forensic InvestigationsDisputes and Investigations and Legal Management Consulting
Advisory for technical innovation and process insights.
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