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

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 ...

03rd May

Final changes to FCA handbook on remuneration in CRD IV firms

The Financial Conduct Authority (the “FCA”) has published a policy statement on remuneration in Capital Requirements ...

02nd May

Over half a million dollars for Whistleblower

The Securities and Exchange Commission (the “SEC”) has awarded a company employee for reporting wrongdoings of ...

25th April

4 Million dollars for Whistleblower

The Securities and Exchange Commission (SEC) awarded nearly $4 million to a whistleblower for reporting suspicious ...

18th April

New rate proposals of the FCA regulated fees and levies

The FCA’s annual funding requirement (AFR) for 2017/18 is £526.9m. This is an increase of £7.6m ...

31st March

Firms have to apply for MiFID II authorisation

The near final framework of the Markets in Financial Instruments Directive (MiFID) II legislation has been ...

30th March

FINRA introduces new rules to protect the financial exploitation of senior investors.

It has been noted by the SEC and FINRA that financial exploitation of the group of ...

24th March

SEC warns overseas traders on US insider trading laws

A recent investigation led by the Securities and Exchange Commission (SEC) on insider trading misconduct, has ...

16th March

FCA’s Guidance Consultation Treatment of politically exposed persons (PEPs) under the Money ...

The proposed guidance clarifies which persons should be considered a PEP, a family member of a ...

15th March

UK Tightens Defences against Money Laundering

The Economic Secretary to the Treasury, Simon Kirby, has published plans to create a new watchdog ...

10th March

The SEC Charges Firms Involved in Layering, Manipulation Schemes

The Securities and Exchange Commission (SEC) has announced fraud charges against a Ukrainian domiciled investment trading ...

07th March

The Senior Managers and Certification Regime one year on

It has been a year since the Financial Conduct Authority (FCA) implemented the Senior Managers and ...

03rd March

Firms fail to meet FCA’s expectations on their use of dealing commission

The Financial Conduct Authority (FCA) has published its results of its recent review of dealing commission. ...

03rd March

The FCA alerts Investment Managers who fail to ensure best execution

The Financial Conduct Authority (FCA) has expressed its concern on how firms addressed the findings of ...