ACA Services: Compliance Support

Designed to help you meet the FSA’s expectations.

Our Compliance Support is designed to help you meet the FSA’s expectations, address what is important and manage future regulatory developments. We would agree a programme of support customised to your needs, but as an example we would:

• Agree a brief familiarisation process so we can really understand how your business works and allocate the appropriate ACA consultants, then;
• If required, create bespoke Compliance Manuals and full compliance controls, records and procedures;
• Visit your premises to introduce these and train your team in their application (if applicable);
• Maintain an open dialogue to address issues if and when they arise and deal with matters of regulatory nature;
• Attend your offices once a quarter, or as often as is required, to review progress and advise you on forthcoming regulatory issues;
• Following the quarterly independent review, issue compliance reports to your Board (optional);
• We would undertake relevant correspondence with the FSA, manage notifications, forms and formal returns; and
• We would advise upon and then periodically review your Internal Capital Adequacy Assessment Process (‘ICAAP’) and liquidity statements('ILAS').

For our more established clients or those with experienced compliance staff in-house, we can modify our support accordingly.

We treat each client individually, because to us, each client is individual.