Compliance Services

Objectivus provides both retained and ad-hoc regulatory compliance consulting services. Our dedicated team offers cost-effective and practical support during the start-up phase, the launch and then throughout the life of the business. We have extensive experience in setting up firms, assisting with the initial authorisation and registration processes and then providing ongoing compliance support.

Our pre-launch services include:

  • Compliance advice
  • Regulatory business plan development
  • Capital and liquidity forecasting
  • Authorisation and registration assistance
  • Compliance infrastructure design and implementation
  • Policies and procedure development

For more than a decade the financial services industry has been subject to new regulatory requirements and increased regulator oversight. New initiatives, such as AIFMD, MiFID II, SM&CR, GDPR and IFD/IFR, have continued to significantly burden firms in compliance, operations, finance and at the board level. Regulated firms need to be aware of the continual changes of the regulatory landscape in order to retain a competitive advantage and avoid the substantial cost of non-compliance.

Our ongoing compliance support and advisory services include:

  • Retained compliance and regulatory services
  • Thematic compliance reviews and ‘health checks’
  • Periodic reviews of compliance arrangements, systems and controls
  • Policy and procedure updates
  • ICAAP preparation and reviews
  • Recovery planning and wind-down planning assistance
  • Regulatory audits, pre-enforcement and supervisory reviews
  • Support with regulatory on-site visits, examinations and enforcement investigations
  • Employee personal dealing reviews
  • Financial and regulatory filings and reporting
  • Advice on preparing for regulatory changes
  • Overseeing change management projects
  • SIF interview preparation
  • Assistance with due diligence on compliance hires
  • Employee training
  • Providing interim secondments in compliance and regulatory positions
  • Regulatory update notifications

Related Blog Posts