REGULATORY COMPLIANCE CONSULTANCY

REGULATORY COMPLIANCE

With years of industry and regulatory backgrounds, our highly experienced team bring a distinctive mix of skillsets to help you navigate the regulatory environments.

Our clients count on us to provide them with specialist consultancy services and support in an ever evolving regulatory environment. We routinely solve client specific issues, assist with changes in business structure and the effect and impact of new regulation on systems, policies and procedures. Our clients choose us because of our dedicated teams who are highly experienced, easy to deal with and are sector specialists.

We bring the experience we’ve gained working with firms facing similar issues to yours – which means you learn how your peers are addressing them. Our proven systems and processes minimise your time and resources, reduce your regulatory burden and make sure compliance makes a positive contribution to your business growth.

We offer Compliance Healthchecks so that your systems and controls are appropriate for regulation such as PSD2, MIFID II and MLD4 (MLD5 from 2019)

Our independent audits include the mandatory annual independent AML audit as defined in MLD4

We help review your regulatory reporting efforts for various jurisdictions on SAMA. HKMA, MiFid, EMIR, DFA transactions reporting regimes, including SFTR, Dodd-Frank and more.

We provide file review and compliance monitoring checks to ensure that you’re following your policies and procedures

We can help you successfully to navigate a FCA investigation with our FCA investigation and remediation services

We can manage your FCA mandatory notifications, including Variations of Permission (VoP), Changes in Control (CiC) and Approved Person applications

SFTR Reporting

Our Services includes:

Pre and Post Go -live testing of the accuracy of your reporting data

Programme design and implementation

Development and evaluation of an appropriate controls environment

Training on the reporting requirements

Subject matter expert support.

Testing of the accuracy of every SFTR transaction report

Testing and mapping of all client identifiers, contractual and collateral reference data

Advanced regulatory reconciliation between the records in your primary trading system/s and the records held at the trade repository

Testing that all delegated reporting has been reported accurately and completely

A control framework including policy documentation and guidelines to meet the reporting requirements.

Dodd Franks

We will support your efforts and provide you with the ability to demonstrate appropriate control over your reporting obligations:

Accuracy testing of all DFA open positions at the trade repository

Full control framework including governance structure, policy documentation, guidance and training for staff on the reporting obligation

Completeness, validity and accuracy of reporting for Parts 43, 45 and 46

Cross-regulation testing to ensure consistency with other regimes

All client identifiers checked for appropriateness for the regulation and properly mapped

Application of an advanced reconciliation between a primary trading system and the records held at the trade repository

Validation that firms are classifying their clients and counterparties correctly in terms of US persons and regulatory status ie. swap dealer, non-swap dealer etc…

Our services have been developed for multiple regulatory regimes so you can be sure your reporting is accurate and complete no matter what the international regulation.

PSD2 Revised Payment Services Directives

PSD2 mandates strong customer authentication for online payments and online banking transactions - Implementations of Checkout SDKs, HPP, Plugins, or APIs with 3D Secure 1 integration

Implement internal protocols configure your financial systems/ERP to comply with PSD2 SCA regulations- SCA requirements based on your business models

Do nothing and let us handle your SCA compliance- end to end

MLD4 (MLD5 from 2019)

Less than three years after implementing the Fourth Money Laundering Directive (MLD4), firms must again revisit their anti-money laundering and counter-terrorist financing (AML/CTF) procedures

 

We will walk you through the:

Larger scale changes including the implementation of risk assessments systems and procedures and associated re-reviews of existing client due diligence (Cryptoassets, CDD measures, EDD, FATF recommendations, Electronic Identifications, Electronic money, PEPs and FG17/6 Guidelines .

Data Protection and GDPR

The data world moves at an almost overwhelmingly fast pace, and so too do the laws surrounding Regulatory Compliance. At Fidere  we have our finger on the pulse, so you don’t have to! General Data Protection Regulation (GDPR) and the Data Protection Act (DPA) 2018 have changed the world of Data Protection providing Data Subjects’ with increased rights. GDPR emphasises transparency, security and accountability whilst providing greater responsibilities on entities that act in the role of Data Controllers and/or Data Processors.

 

What we can help you with:

Data quality : information that an organisation has and making sure it’s of the highest quality to support its intended uses in operations, decision making and planning

Developing data quality frameworks. IT environment (data flows, risks, controls).

Data quality assessments (process, completeness, validity, etc.)

Supporting large data remediation programmes Independent assessment of your Data Protection policies

Help create GDPR compliant documentation

Provide guidance on Data Protection regulatory changes

Best Strategists Around

A consultant is usually an expert or an experienced professional in a specific field and has a wide knowledge of

Best Strategists Around

A consultant is usually an expert or an experienced professional in a specific field and has a wide knowledge of

Best Strategists Around

A consultant is usually an expert or an experienced professional in a specific field and has a wide knowledge of

Best Strategists Around

A consultant is usually an expert or an experienced professional in a specific field and has a wide knowledge of

15 Years Of Experience in Strategy Planning

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