REGULATORY COMPLIANCE

The regulatory environment is an ever-expanding universe of rules and directives. It is a challenge for managers to keep abreast of the constant change. Regulation is difficult and complex to understand. Managers need assistance from experts they can trust and who truly understand their business.

WHY AUGENTIUS COMPLIANCE?

Augentius Compliance is different. Augentius knows and understands how managers work – and works together with them every day of the week. We understand the issues and the problems from a practical point of view – and run regulated businesses ourselves in a number of jurisdictions. Compliance is in our DNA.

HOW AUGENTIUS COMPLIANCE CAN HELP YOU

  • Ongoing Compliance Monitoring
  • Bespoke Infrastructure Development
  • Applications for Part IV Permission
  • Variation of Permissions
  • Change in Control
  • Connect Submissions…and much more

We have had increasing
demand for our Compliance
Health Checks, find out how
to receive your own
free Compliance Health Check

  • Ongoing Compliance Monitoring
  • Bespoke Infrastructure Development
  • Applications for Part IV Permission
  • Variation of Permissions
  • Change in Control
  • Connect Submissions…and much more

We have had increasing demand for our Compliance Health Checks, find out how to receive your own free Compliance Health Check

LATEST NEWS

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22nd December

SEC Charges, December 2016

1st December 2016 – PIMCO Settles SEC Charges of Misleading Investors about ETF Performance On 1st ...

21st December

Equity Portfolio Manager sentenced to 12 months imprisonment for insider dealing

In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio ...

16th December

The FCA has published its fourth MiFID 2 Consultation Paper

On 16th of December the Financial Conduct Authority (FCA) has published its fourth set of implementation ...

07th December

Co-operation Agreement between the FCA and the Hong Kong Monetary Authority

On 7th of December the UK’s Financial Conduct Authority (FCA) and the Hong Kong Monetary Authority ...

01st December

The FCA published decision notice against Chief Executive of TailorMade Independent Limited

On 1st of December 2016, the Financial Conduct Authority (FCA) has published a Decision Notice in ...

30th November

Two Plead Guilty to Insider Dealing

On 30th of November in a case brought by the Financial Conduct Authority (FCA) Mr. Manjeet ...

27th November

Investment Adviser Charged by SEC over Fraudulently Overbilled Clients

The Securities and Exchange Commission (the “SEC”) has charged a Los-Angeles based investment advisory firm and ...

18th November

The FCA has published the interim findings of its asset management market ...

The UK’s asset management industry is the second largest in the world, managing almost £7 trillion ...

10th November

British “Flash Crash” Trader Pleads Guilty to Fraud in U.S.

A trader, Mr. Navinder Sarao, 37, who operated from his parents’ home in London, has pleaded ...

02nd November

Former BlackRock Manager Pleads Guilty to Insider Dealing

On 2nd of November, 2016 Mr. Mark Lyttleton, a former Equity Portfolio Manager at BlackRock, has ...

01st November

The FCA prohibits six individuals for their part in unauthorised collective investment ...

On 1st of November 2016, the Financial Conduct Authority (FCA) has prohibited six individuals from performing ...

26th October

The FCA consults on its Mission

The Financial Conduct Authority (FCA) has launched a consultation on its Mission, which is designed to ...

13th October

The FCA cancels payday lender’s interim permission, bans director and refuses application ...

The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate ...

13th October

The SEC charged hedge fund firm and supervisor with failing to prevent ...

The Securities and Exchange Commission (SEC) announced that a hedge fund advisory firm and a senior ...

12th October

The FCA imposes penalties on Sonali Bank and its former money laundering ...

The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed ...