Our Compliance:Delivered solution provides a flexible means of augmenting your own compliance resources by seconding a specific individual(s) to your firm to act as the Compliance Oversight Officer (FCA approved SMF 16) or as a Compliance Manager providing additional resource to your in-house team to execute on the compliance function and undertake the heavy lifting of the day to day work.
Benefits of Compliance:Delivered
No need to hire your own permanent resource which can be time intensive, expensive and may not be fully utilised
Level of experience and amount of support can be varied to reflect changing business requirements
Direct the resource to any required compliance tasks such us board reporting, compliance monitoring, books and records maintenance
Can be provided on a short-term interim, or longer-term basis
A consultant dedicated to your firm but with full access to the rest of the Judd team to provide broad technical assistance, as well as our suite of compliance documents.
On Our Radar
FCA transaction reporting proposals to save firms £100 million a year
There are a few areas of regulatory compliance that, over the past 6 years, have created more frustration, angst and wasted hours than transaction reporting.
Good news comes in threes…
Dear Clients and Friends, In recent months, the FCA has continued to remind firms to get their house in order on client categorisation. Since the
IFPR Newsletter Highlights
Dear Clients and Friends, As we come into the third year of IFPR, the regulator has launched the IFPR newsletter. Perhaps not the most exciting
Market Watch 83: Sounding Off on Governance
Dear Clients and Friends, Market Watch 83: Sounding Off on Governance The regulator does not often direct their communications specifically to Corporate Finance firms, so
FCA & SEC Compliance Highlights – Summer 2025
Dear Clients and Friends, Following a summer of page turning FCA proposals, welcome to the final stretch of 2025. The FCA has not slowed its
Off Channel Communications
Dear Clients and Friends, Managing electronic communication channels has been one of the most debated compliance topics over the past few years; the tension between
