Expert Compliance Advisory Services
At Finkit, compliance is the cornerstone of our services. Our team, with deep expertise in EU, UK, and UAE regulations, ensures clients remain fully compliant with all regulatory requirements. We provide proactive, practical advice to keep your business ahead of regulatory changes.
Our Key Compliance Services Include:
Compliance Consulting
Custom Compliance Framework Design: Develop and implement compliance monitoring frameworks tailored to your business needs. • Regulatory Interaction Support: Assist with interactions and submissions to regulators. • Market Abuse Regulation Compliance: Design and implement surveillance programs and reporting procedures to ensure compliance with MAR. • Comprehensive Gap Analysis: Identify and rectify compliance issues to align with industry best practices. • The Roadmap™: A strategic document outlining compliance steps for executive management, aiding task prioritization and decision-making.
Anti-Money Laundering (AML)
AML Compliance Programs: Design and implement robust AML programs in line with the 5th and 6th AML Directives. • Risk-Based AML Approach: Conduct thorough AML risk assessments and apply effective risk mitigation measures. • Know-Your-Customer (KYC) Procedures: Ensure meticulous compliance with KYC requirements.
Annual Regulatory Reporting
Report Preparation and Submission: Assist in preparing and submitting various mandatory reports, including: • Compliance Report • AML Report • Risk Management Report • Internal Audit Report • Pillar III Disclosures • FATCA, CRS, RTS 27 & 28 Reports • Prudential Supervision Forms • Quarterly Statistics (QST-CIF) • Investor Compensation Fund (ICF) Reports
MiFID II Compliance Advisory
Internal Operation Manuals: Create or review Internal Operation Manuals as per MiFID II regulations. • Product Governance Compliance: Ensure adherence to product governance requirements. • Client Suitability and Appropriateness: Conduct assessments to meet regulatory standards. • Execution Quality Reporting: Provide RTS 27 & 28 reports on execution quality of transactions. • Cost and Charges Compliance: Ensure transparent and compliant ex-post information on cost and charges.
Capital Adequacy Advisory
Investment Firms Regulation (IFR) and Directive (IFD) Compliance: Advise on capital adequacy requirements. • Internal Capital Adequacy Process (ICAAP): Assist in preparing comprehensive ICAAP documentation, including risk registers and stress tests. • Pillar III Disclosures: Guide the preparation of Pillar III disclosure reports. • In-House Regulatory Training: Offer training on regulatory requirements and compliance processes to internal teams.
Why Choose Finkit?
Regulatory Expertise: Extensive experience with EU, UK, and UAE regulatory requirements. • Proactive Compliance: Stay ahead of regulatory changes with timely, practical advice. • End-to-End Support: From application preparation to ongoing compliance, we ensure seamless adherence to all regulations.
Contact Us
For more information on our comprehensive compliance advisory services and how we can help your business stay compliant and efficient, contact Finkit today. Optimize your compliance strategy with our expert guidance.
