Augentius is in the process of becoming part of the SGG Group (subject to regulatory approval). Once the transaction has completed Augentius will become part of the world’s 4th leading investor services firm in the world with over $400 billion of assets under administration, backed by a team of over 2350 professionals servicing assets across 24 jurisdictions. Full details can be found here.

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

LATEST NEWS

Open

10th August

FCA backs increased cost disclosure for Private Equity and Real Estate Managers

Last year, the FCA set up the Institutional Disclosure  Working Group (“IDWG”), chaired by academic Dr. ...

07th August

Augentius Client News – FAIR VALUING PORTFOLIO INVESTMENT

WHAT HAS HAPPENED? The Private Equity and Venture Capital Task Force of the American Institute of ...

07th August

Augentius Client News – FSCS Levy Regulatory Alert

Background The FCA have contacted firms where they hold a Financial Services Compensation Scheme (“FSCS”) “exemption ...

27th April

Augentius appoints new Chairman to capitalise on compliance services growth

Augentius Compliance has appointed Andrew Shrimpton, a proven leader within the Compliance Consulting industry, as its ...

28th December

FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research ...

The Financial Industry Regulatory Authority (FINRA) fined Citigroup Global Markets Inc. (CGMI) $5.5 million. The regulator ...

20th December

A statement of the FCA on EU withdrawal

The European Council confirmed on the 15 December 2017 that progress had been made to move ...

20th December

ESMA issued a statement to support the smooth implementation of LEIs

The European Securities and Markets Authority (the “ESMA”) has issued today a statement to support the ...

15th December

ESMA has published further guidance on third country post-trade transparency and position ...

The European Securities and Markets Authority (“ESMA”) has published two revised opinions in regards to the ...

13th December

The FCA published proposals on how firms will move to the Senior ...

The Financial Conduct Authority (the “FCA”) is seeking to make a simple and clear transition from ...

08th December

Policy Statement on Financial Advice Market Review Implementation Part II and Consultation ...

In August 2017 The Financial Conduct Authority (the “FCA”) published proposals to implement recommendations made by ...

04th December

CMA proposes Annual Plan for 2018

The Competition and Markets Authority has published a consultation on their Annual Plan, which sets out ...

01st December

Four guilty in relation to 1.4m unauthorised investment scheme

The Financial Conduct Authority (the “FCA”) has brought a criminal prosecution to individuals of Symbiosis Healthcare ...

29th November

Financial regulator issues statement of objection to four asset management firms

The Financial Conduct Authority (the “FCA”) has alleged that four asset management firms may have broken ...

22nd November

Bond trader of Merrill Lynch receives penalty for market abuse

The Financial Conduct Authority (the “FCA”) has imposed a financial penalty of £60,090 on an experienced ...

17th November

FCA publishes guide to completing application to cancel firm’s authorisation

The Financial Conduct Authority (the “FCA”) has published a guide to completing the application to cancel ...