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

Open

20th September

CEO used secret accounts for insider trading

A former founder and chairman of a Silicon Valley-based company has been charged by the Securities ...

13th September

Warning for investors against unauthorised use of ESMA’s identity and logo

The logo and identity of the European Securities and Markets Authority (the “ESMA”) have been used ...

01st September

Consultation on proposed amendments to the FCA Handbook

The Financial Conduct Authority (the “FCA”) is seeking feedback on minor changes to the handbook. The ...

16th August

Wide reaching insider trading scheme uncovered

The Securities and Exchange Commission (the “SEC”) has charged seven individuals who generated millions in profits ...

08th August

New updates on MiFID II guidelines on transaction reporting

The European Securities and Markets Authority (the “ESMA”) has issued an update of its guidelines on ...

01st August

The Financial Conduct Authority opens consultation on client money and unbreakable deposits

The Financial Conduct Authority (the “FCA”) is proposing minor amendments to the Client Assets sourcebook (CASS). ...

26th July

New proposals on Senior Managers & Certification Regime (SM&CR)

The FCA has published a consultation paper (CP17/25) that suggests to extend the SM&CR to all ...

24th July

£350,000 confiscation order against convicted insider dealer

The Southwark Crown Court has made a confiscation order in the sum of £350,000 against Damian ...

14th July

The FCA fines compliance oversight officer

The FCA found that that compliance officer Mr Watters failed to take reasonable steps to ensure ...

03rd July

Final consultation paper on Markets in Financial Instruments Directive II (MiFID II)

The FCA has published a final consultation paper (CP17/19) on proposed rules for MiFID II, which ...

28th June

Final Report on Asset Management market study

As the asset management industry continues to play a vital role in the United Kingdom’s economy ...

27th June

The Information Commissioner’s Office (ICO) warns Small and Medium sized business (SME’s) ...

*if your Firm deals with data that falls under the Data Protection Act 1998 and is ...

05th June

Brokerage Firm failed to comply with Anti-Money Laundering Rules

The Securities and Exchange Commission (the “SEC”) has charged a brokerage firm, Alpine Securities Corporation (the ...

31st May

The European Securities and Markets Authority (“ESMA”) issues an opinion on relocations ...

The published opinion sets out the supervisory principles for UK regulated based firms seeking to relocate ...

24th May

“Operation Cotton” leads to 8 convictions for their role in an unauthorised ...

The Financial Conduct Authority (the “FCA”) has led one of the largest investigations into three land ...