What does Mpac offer?
- Authorisations and variations of permissions (FSA and DFSA)
- Outsourced Compliance
- Temporary high-level compliance oversight
- Ongoing compliance advisory work
- Advisory work on credit risk and operational risk issues
- Skilled persons review and reports (section 166)
- Senior management regulatory responsibility briefings
- Compliance induction training and programmes
- Anti money laundering/Know your client/Customer due diligence remediation projects
- Exchange membership applications
- Preparation for visits by FSA and exchanges (e.g. ARROW visits)
- Healthchecks of the compliance function and its procedures and monitoring processes
- Provision of and updates to, compliance and money laundering procedures
- Provision of tailored risk-based compliance monitoring programmes
- Themed compliance training (e.g. Training & Competence, Money Laundering, Market Abuse, Senior Management Expectations, Introduction to the Financial Sector, etc.)
- Disciplinary and enforcement issues
- Expert witness work
... or if you simply need a compliance manual, a monitoring programme, specific policies or procedures, we can provide these in a cost effective way.
