We understand that the key to successful compliance is the establishment of robust systems and controls, producing a strong compliance culture within your business. Our compliance solutions team works in partnership with your team to provide a tailored service, delivered in a comprehensive, practical and cost-effective manner. Headed by ex CCO and COOs and staffed by experienced industry professionals, we have wide ranging expertise, covering a variety of industry sectors and international regulatory regimes.

Services include

  • Adviser CCO/consulting services.
  • Regulatory Mock Audit Service.
  • National Futures Associates. (NFA)/Commodity Futures Trading Commission (CFTC) Compliance.
  • Anti-Money Laundering Training and Audit Services.
  • RIA/ERA Registration (Form ADV).
  • Form PF & CPO-PQR Services.
  • Licence applications to regulators in the UK and the US.
  • Design and implementation of risk-based systems and controls encompassing compliance, operations, risk and corporate governance.
  • Delivery of interactive compliance management and monitoring solutions using Apex-exclusive web-based technology.
  • Company health checks involving a holistic review of the firm’s systems and controls.
  • Outsourced registered compliance and money laundering reporting officer functions (SMF 16 and 17) under the FCA’s SM&CR.
  • Onboarding due diligence.
  • Liaising with and reporting to the Board.

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