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The FCA has an ongoing focus on the Asset Management sector, with particular emphasis on business models and culture. With the sector subject to much regulatory change, our expertise lies in assisting our clients understand and interpret the requirements and expectations from both local regulators and the ever-increasing European regulation (MiFiD II, UCITS V, PRIPs).

A well-conceived system of compliance controls and a forward-looking conduct risk programme are essential tools in protecting your firm from business, regulatory and reputational risks. You should be questioning the effectiveness of existing compliance and risk programmes, considering whether business controls are proportionate, robust and delivering the right outcomes.  We place emphasis on ensuring that our clients’ operating models, culture and objectives are not only right for an industry leading and profitable business, but are focused on meeting the needs and objectives of their clients.

Incoming European regulation requires you to improve outdated and ineffective operating models and controls. Updating your systems will not only make you more compliant but is likely to deliver significant efficiency savings. Don’t underestimate the power of technology.

The operational cost and commercial pressures of complying with increased regulation and FCA/Europe’s focus on transparency is only likely to continue to rise. At TCC, we are focused on providing cost-effective, proportionate solutions that provide a return on investment, rather than resulting in additional cost.

How can we help you?

We provide long-term, holistic risk and compliance solutions that fix your past, strengthen your present and protect the future of your business:

Discover how we helped an Asset Management firm conduct a detailed compliance review and produce a remediation action plan within tight timescales.

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We have a solution for every problem.

If you can’t find what you’re looking for give us a call.

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This Week in Regulation

This week we focus on the news of a UK investment firm entering administration and the FCA securing eight confiscation orders against individuals convicted of unauthorised activity.

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