Can you prevent a Civil Financial Penalty whilst working remotely?
ADVICE & STRATEGY
Our team is well placed to provide a wide range of services to assist you and your business whatever the situation. We have extensive experience dealing with businesses in distress or simply those who recognise that certain functions or operations within their business model are not aligned to strategy or risk appetite.
We provide assistance with the following areas, guiding clients and reviewing and refining key governance documents to ensure that your business is aligned in terms of strategy, risk and corporate governance.
- Adjusted Net Liquid Assets (“ANLA”) guidance
- Business risk assessment
- Anti-bribery & corruption
- Client monies and assets: control & segregation
- Complaints: handling and guidance
- Compliance framework assessment
- Conduct risk framework
- Non Executive Director support and assistance
- Policies & procedures
- Retainers: regulatory & compliance advisory services
- Independent compliance monitoring programmes
- Governance risk framework
- Licence applications