THE WAY COMPLIANCE
SHOULD BE

Working in partnership with firms in key financial centres.

THE WAY COMPLIANCE
SHOULD BE

Supporting firms in a fast paced regulatory environment.

AUTHORISATION

When applying to a financial services regulator in the UK or the UAE to become authorised it is important that you get your application right first time. Effecta can assist you by ensuring that your documents cover all material aspects of the proposed business, management infrastructure and control environment so that the application can be properly assessed in the shortest time possible.

COMPLIANCE
RETAINER

Once authorised, you need to ensure that your firm can continue to meet the relevant regulatory requirements. Effecta’s consultants can assist in not only keeping your firms up to date with changes to the rules but also updating and implementing policies and procedures as well as monitoring their ongoing effectiveness. This support can be provided on a retained basis and in the UAE on an outsourced basis as well.

POLICIES & PROCEDURES

At Effecta we provide bespoke policies and procedures to fit your business operations and meet both external and internal requirements.

ADVISORY

When Effecta provides regulatory advice, we provide advice which is bespoke to you and your firm. Business requirements are unique and implementing them in an effective and efficient way is always going to require a solution tailored to your business operations.

COMPLIANCE MONITORING

Effecta assists clients in the design, enhancement and maintenance of their compliance monitoring programmes.

LATEST REGULATORY INSIGHTS

EFFECTA’S ESSENTIAL INSIGHTS: A REGULATORY UPDATE

July 20, 2022

Welcome to the second edition of EFFECTA’s Essential Insights, a quarterly newsletter aimed at providing its readers with succinct overviews of some of the key regulatory issues currently faced by Firms. However, in this edition, EFFECTA is pleased to announce the newsletter...

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DIVERSITY AND INCLUSION: WHY SHOULD YOU CARE?

July 14, 2022

When you tell someone that you wish to talk to them about Diversity and Inclusion and...

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The FCA ‘focus in’ on Financial Promotions

June 10, 2022

For as long as I have been working in Compliance, Financial Promotions have been a challenge...

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Market Watch 69 – A focus on Market Abuse Monitoring For Small and Medium Sized Firms

May 24, 2022

On the 17th May 2022, the FCA published the 69th edition of their Market Watch newsletter....

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