Compliance
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.
