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’s Asset Management & Alternatives Strategy
Dear Clients and Friends, Private Equity and Hedge Funds Under the FCA’s 2025 Strategy: Key Regulatory Changes and Expectations Whilst a nod to the FCA’s
New Year Letter – 2025
Dear Clients and Friends, As 2025 is now in full swing, it is time for our annual New Year letter. In our compliance review work
The FCA and non-financial misconduct question – Do as we say, not as we do?
The last few months of 2024 saw some notable actions taken by the FCA against individuals for non-financial misconduct. But this was against a backdrop
Back to the Future – Part IV – Joint Payments for Research Update
Dear Clients and Friends, You will recall that our Alert from the summer outlined the changes proposed – and subsequently passed – by the FCA in relation
Compliance: Delivered – Interim Compliance Officer and resource management solutions
Finding, hiring and on-boarding compliance staff with the right expertise and level of experience is difficult. We know – we’ve hired many compliance professionals ourselves
FCA’s Data Led Enforcement – Enforcing Minimum Standards
Data Led Enforcement – Enforcing Minimum Standards When thinking of enforcement action by financial regulators it is the images of insider dealers being led away
