It can be challenging navigating compliance and managing risk effectively, especially if you’re a newly authorised or small firm.
At Arbor Law, compliance isn’t just about meeting your regulatory rules. We go above and beyond to make sure your compliance regulations add value to your business. Our legal compliance solutions are designed to safeguard you and your clients, protect your reputation and facilitate your firm’s strategic execution.
Our business model means that you benefit from specialist advice on legal compliance for regulated corporate finance, advisory and investment firms. We dedicate a senior financial regulatory and compliance specialist within our legal team to serve as your outsourced compliance officer. This means that you get direct access to a senior compliance lawyer who will work as part of your firm and team.
As part of our outsourced compliance solutions, your dedicated outsourced lawyer will provide day-to-day legal compliance support and serve as the FCA (Financial Conduct Authority) liaison for:
Contact us to discover how our compliance lawyers can support you. We will partner with you to ensure that your firm is fully compliant and adheres to the industry’s regulations.
By overseeing your regulatory relations and reporting, we can liaise with your regulator on your behalf, as well as facilitate the review and filing of your periodic reporting through the FCA Connect and RegData.
We take responsibility of your compliance programme. We maintain and update your firm’s manuals, policies, procedures and registers, monitor your staff reporting, handle regulatory client complaints and oversee your staff assessments and annual certifications.
We maintain your firm’s manuals, policies and procedures in relation to money laundering. By developing a financial crime programme, we perform money laundering risk assessments, raise suspicious transaction reports, perform customer due diligence and periodic refreshes, conduct Investor KYC (know your customer) and screening, and undertake client categorisation.
It’s important that your team is fully trained with the firm’s compliance programme. We deliver a compliance training programme that covers FCA regulatory environment, competence supervision, Senior Managers & Certification Regime (SMRC) and conduct rules, conflicts of interest, financial crime, anti-money laundering, market abuse and whistleblowing.
As part of our risk management service, we identify, mitigate and manage your firm’s capital adequacy and enterprise risks. By implementing an appropriate risk management framework, including policies, controls and procedures, your firm can take the necessary precautions to mitigate risk and be prepared for assessments, such as the Internal Capital Adequacy and Risk Assessment (ICARA).
As one of the leading providers of outsourced legal compliance solutions, our specialist lawyers provide ongoing regulatory compliance support tailored to your firm’s needs.
Contact our financial regulatory team to learn more about how we can support you and your firm by outsourcing your legal compliance work to us. Our fees for our legal compliance solutions are tailored to your needs and based on a fixed amount of time per month on a retainer basis.
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