REGULATORY 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. It is our job at Effecta to work with you to ensure your firm is aware of the regulatory changes as they happen and the impact it is having on the industry including any industry best practice or industry concerns that have emerged. We will provide advice regarding the regulator’s expectations in relation to any new or existing regulations and then work with your Compliance team to produce a cost effective solutions driven response. What makes us different is we then work with you as part of your team to implement any changes required, support your internal team once implemented to ensure any issues which arise are identified early and resolved (See Compliance support).

Effecta can provide this support in a variety of ways including:

Retainer Agreement

This can provide you with a certain amount of hours support on an ongoing basis. This support can be highly flexible to your requirements and can change as your requirements change over time.

Structured Advisory Engagement

Providing advice around a specific topic or for a specific reason such as mentoring your Compliance Officer or other members of your Compliance team.

Flexible Ad-hoc Agreement

Providing access to our consultants as and when needed. Our experienced compliance practitioners can then help to identify a practical solution quickly and economically.