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
- Hedge Funds
- Private Equity & Venture Capital firms
- Corporate Finance advisers
- Real Estate & Infrastructure firms
- Broker Dealers
- FinTech Providers
- Payment Service Providers
- Investment Banks
- Wealth Managers
- Family Offices
- Digital & crypto assets
Effecta assists firms with their regulatory requirements, providing comprehensive advice and solutions based on international expertise and local experience.
GEOGRAPHICAL SCOPE
Effecta operates from its base in London but is able to service firms depending on their particular needs in several geographic locations either from our consultants direct experience or from affiliates in other jurisdictions.
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 support.
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
A Change in Control Is More than Just a Standard Notification
July 12, 2021
The Financial Conduct Authority (“FCA”) recently released a Final Notice opposing the Change in Control (“CiC”)...
read moreIndependent Regulatory Health Checks and Compliance Assurance review.
June 1, 2021
Financial services compliance is becoming increasingly more complex, and the regulatory landscape is continually changing and...
read moreFrom the very beginning you have made me feel very comfortable in terms of providing me with a program specially made for me for my 'self-study' along with always being there during our training sessions and making it easy yet detailed to understand the DFSA regulator. AT, Dubai, Asset Management