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
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
Back to the Future – Part III – Joint Payments (fka Bundled Commissions)
As referenced in our alert from May, the FCA has now released Policy Statement PS24/9 Payment Optionality for Investment Research. The Policy Statement and release
Criminal Background Checks for Controllers
July 2024 Dear Clients and Friends, Criminal Background Checks on Controllers A brief but potentially important update from the FCA…you may have missed it but
