EXPERTISE

INDUSTRIES

Effecta works with financial services firms helping them to manage and implement changes driven by new regulations and strategic risk management objectives. Our consultants are all industry practitioners who understand the pressures and obligations of regulated firms as well as those registered as Compliance Officer, MLRO’s and Senior Managers and we are there to help our clients navigate many of today’s largest, most challenging issues impacting the financial services industry.

Effecta can provide Compliance support to both multinationals and start-ups across a wide range of financial services firms, including:

• Asset Managers & Advisers
• Prime Brokers
• Broker Dealers
• Hedge Funds
• Private Equity & Venture Capital Firms
• Real Estate & Infrastructure Firms
• Wealth Managers
• Investment Banks
• Exchanges
• Corporate Finance Advisers
• Family Office
• Venue Operators (MTFs/OTFs)
• Digital & Crypto Currencies
• Benchmark Administrators/Calculation Agents
• E-Money & Payment Service Providers

Effecta assists firms with their regulatory requirements, providing comprehensive advice and solutions based on international expertise and local experience.

GEOGRAPHICAL SCOPE

COMPLIANCE

Financial services firms are working under increasingly complex regulations in an ever-competitive market. Where reputation with regulators, clients and other stakeholders is paramount getting it wrong can cost a firm and its employees more than just a fine. In this environment regulatory risk must be a key business risk which requires dedicated employees and a support structure that ensures the firm is not only doing the right thing but can demonstrate this as and when required.

Effecta assists firms from authorisation to implementation to provide comfort and guidance to the firm and its senior managers. Effecta can work with all levels of the organisation including the Board, Senior Managers, Compliance personnel etc. This can include Regulatory Advisory, Compliance retainer.

FINANCIAL CRIME

Financial Crime is an increasing concern for all financial institutions, from global organisations to smaller companies. Preventing and detecting Financial Crime is rapidly evolving to be one of their biggest challenges, the impact of which extends to reputation and brand, business relations, as well as regulatory censure and fines. Effecta works with its clients to remediate past deficiencies and develop enhanced internal procedures and policies in line with the changing landscape.

Financial Crime extends beyond Anti Money Laundering and includes:

• Cybersecurity
• Fraud
• Anti-money laundering, counter terrorist financing and sanctions
• Anti-bribery and corruption
• Market abuse