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

Anti-Money Laundering/Know Your Customer

April 22, 2024

Background Post the fall-out through the Coutts/Nigel Farage debacle, the FCA have introduced greater Anti-Money Laundering Measures (AML) on firms, and especially the Know Your Customer (KYC), process. Although the FCA are aware that budget cuts have been problematic for some firms,...

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FCA’s Dear CEO Letter to Annex 1 Firms on common control failings in AML frameworks

March 25, 2024

Introduction The FCA has published its latest Dear CEO letter which focuses on common control weaknesses...

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Mitigating Conduct Market Risks: FCA’s Insights on Combatting Market Manipulation and Organised Crime Groups

March 5, 2024

Mitigating Conduct Market Risks: FCA's Insights on Combatting Market Manipulation and Organised Crime Groups Introduction In...

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FCA Focus 2024

February 5, 2024

Financial Conduct Authority’s 2024 business plan.  What will be their key areas of focus? The Financial...

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