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.

WHY DO YOU NEED
ONGOING COMPLIANCE?

AN EXAMPLE COMPLIANCE SUPPORT PROGRAMME

In recent years we have seen a raft of new legislation. This has resulted in an increase in regulatory obligations for firms, greater scrutiny and intervention from the regulator. And more importantly a rise in the number of firms subject to enforcement actions resulting in regulatory sanctions. In short, regulations are more complex, the regulators are being far more proactive and it is imperative that a firm is in full compliance at all times.

Augentius Compliance acts together with your firm, to assist you with meeting your firm’s regulatory obligations wherever they arise. We provide comprehensive ongoing compliance support designed to assist your firm in implementing and embedding a cohesive compliance programme within your organisation. A programme that is aligned to your firm’s activities, scope of permissions and the services that are offered to your clients.

  • Assisting in the preparation of FCA regulatory fee returns
  • Carrying out CASS reviews
  • Carrying out Compliance Monitoring in line with the firm’s Compliance Monitoring Programme (CMP)
  • Deep dive thematic reviews in order to establish the robustness of the firm’s internal systems and controls
  • Preparation and maintenance of ICAAP
  • Providing a bespoke Compliance Manual, policies and procedures, including their ongoing maintenance to ensure they remain up to date with changes in the regulatory landscape
  • Providing assistance with and guidance on Prudential Rules and Regulatory Reporting
  • Providing Regulatory updates
  • Providing training to all staff
  • Risk Management
  • Providing unlimited ad-hoc (proactive and reactive) advice and technical guidance on compliance and regulatory subject matter